information in the form and reveal with the procedures including period of time as specified by the Office except transaction for non-retail fund and country fund. (1) Transaction with related persons directly

following business day of the transaction date. Clause 27 For the purpose of sending out confirmation statements under Clause 26: (1) in case of a transaction executed in a foreign country, a confirmation

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

exercises effective control in relation to the customer’s account or transactions; (5) “suspicious transaction” means suspicious transactions to be reported under anti-money laundering legislations; (6) “anti

conforming to the rules under Clause 6/1; (3) in case of investment units having been sold in a foreign country, the appointment to be an agent therein shall be conforming to the rules under Clause 8. Clause 6

to the rules under Clause 6/1; (3) in case of investment units having been sold in a foreign country, the appointment to be an agent therein shall be conforming to the rules under Clause 8. Clause 6 In

without having to apply for a license or registration. By the authorized agency…………………………………… Country……………………………………………………………… 2.2 Regulation on scope of business operation: □ No □ Yes, please specify the

/ Soi Road Sub-district District Province Zip Code Country Tel. Fax. E-mail Overseas Address : (only for a non-Thai national, please specify overseas contact address) 1.6 Academic Background Highest

should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out on behalf of the client , or [ii] providing inappropriate services to

securities company shall send a report on a client’s assets as of the last business day of each month to the client within the fifth business day of the following month, except the month where no transaction