first paragraph, the term of “ foreign collective investment scheme ” means a collective investment scheme established under foreign law provided that it has been granted approval, registered or

securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of

________________________ By virtue of Paragraph 1 of Section 109 and Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535 (1992) , with the approval of the Capital Market Supservisory Board, Section19

procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment units of any scheme, should any of the

Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but

translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

, there should be a plan to offer to the institutional investors in accordance with the notifications of the Office. 3. Establishment/Management of Fund Mutual Funds - The detail of the mutual fund scheme

liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for

. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 43/2544 Re: Rules, Conditions and Procedures for the Approval of