agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
TRANSLATED VERSION Codified up to No. 2 As of June 12, 2015 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2 13
UNOFFICIAL TRANSLATION Codified up to No. 6 As of 12 April 2019 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2
paid-up shares with voting rights of such person; 2. an individual or a company holding shares of the company under 1. in the number of exceeding fifty percent of the total paid-up shares with voting
financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may
. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt
damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities
. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it