sale or acceptance of redemption of investment units in a foreign country. In appointing a juristic person as marketing representative of private funds under (2), the management company shall appoint a
notify the ground supporting such consideration to the management company . Clause 8 In appointing a juristic person to be an agent in a foreign country [as prescribed in sub clause (3) of Clause 5], a
shares sold of the Company. 1.2 Nature of Business 1.2.1 Income structure1 In case of more than one product line or business group, disclose the income proportion of each product line or business group
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
foreign country, a confirmation statement shall be sent to the client within the following business day or the day when the intermediary has received insistence on the transaction from the foreign country
tables attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary; “ fund management company ” means a securities company licensed to undertake securities business in the
and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses