Investment Scheme and Submission of Evidentiary Documentation in Chapter 1; (2) Provisions relating to Draft Prospectus in Chapter 2; (3) Reporting of the Sales of Units of Foreign Collective Investment Scheme
the trading of any derivatives contract shall submit to the SEC Office an application for approval of the forms and terms of such derivatives contract via Form 67- 1 together with the evidentiary
trading center shall submit the application together with the accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public to the SEC through the SEC Office at
with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
trading of the client, and the controlling person of the client, and consider and arrange sufficient information or evidentiary documentation to be informed of the client’s financial status and debt-paying
financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instruments or evidentiary documentation showing the right in the assets of collective investment schemes. “CIS
evidentiary documentation related to its proprietary trading in accordance with the following rules: (1) the report on the purchase and redemption of investment units under (1) of Paragraph 1 of Chapter 11
of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling precious metal in Thailand; (3