of license, as the case may be. Clause 16 3 A licensee shall pay the fixed-rate fee to the SEC Office per calendar year within 31 January of the year, except for the following cases: (1) a licensee who
SEC Office per calendar year within 31 January of the year, except for the following cases: (1) a licensee who commenses the business operation in the first year shall pay the fee on the first day of
cases: (1) in case of a mutual fund that offers all investment units for sale to persons who are not domiciled in Thailand, the mutual fund management company may prepare the financial statements in
following cases: (1) in case of a mutual fund that offers all investment units for sale to persons who are not domiciled in Thailand, the mutual fund management company may prepare the financial statements in
advices about securities investment or securities investment analysis in the following cases: (1) Provide service for the institutional client where the securities company appoint a person who make a
cases: 10 Amended by Notification of the Securities and Exchange Commission No. KorYor. 56/2548 Re: Rules, Conditions and Procedures for Dealing of Debt Securities (No. 10) dated 16 November 2005. 11
who is not an investor contact to contact, solicit, or give any advices about securities investment or securities investment analysis in the following cases: 10 Amended by Notification of the Securities
following cases: 1. Having attended a refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards within the past two years prior to the