regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
license and evidence on renewal of such license; (11) Copy of Identification Card; (12) Copy of the Shareholders Name List (Form Bor. Or. Jor. 5). In this regard, I confirm my willingness to provide
Success) และเมื่อเรียกดูสถานะของเอกสารที่ปุ่ม “ Click ที่นี่เพื่อดูประวัติการส่งข้อมูล ” ระบบจะแสดงผลเป็นรายการที่ส่งเป็น Not confirm จนกว่าจะถึง 6.00 น. ของวันรุ่งขึ้น เมื่อระบบ จึงจะเปลี่ยนเป็น Confirmed
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities
accordance with the relevant rules and for the work unit responsible for post-trade operation to confirm the securities buying or selling with the counterparty promptly. Clause 8 A securities company shall be
balance, and shall confirm the transfer of money or assets in and out of the fund. There shall be system to issue and send the reports on asset flow of the fund to the clients regularly and in appropriate
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual fund; “Mutual fund” means any mutual fund which accepts or does not accept