Offering for Sale of Units of Foreign Collective Investment Scheme dated 17 January 2018, the SEC Office hereby issues the following regulations: Clause 1 The following Notifications shall be repealed: (1
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
Exchange Act B.E. 2535 (1992) and the Notifications of the Capital Market Supervisory Board regarding Offering for Sale of Shares of Foreign Companies and Disclosure of Financial Position and Operating
’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from the date of
and repayment ability of the existing clients from whom the derivatives broker has never received such information or documentation by 31 December 2009. Clause 36 All notifications of the SEC Office
appears in the evidentiary documentation of an application for doing business transactions with the securities company, and verify the identity of the client, the ultimate beneficiary for the securities
___________________________________ By virtue of Section 81 of the Securities and Exchange Act B.E. 2535 (1992), the SEC Office hereby issues the following regulations: Clause 1 The following Notifications shall be repealed: (1) the
of the Securities and Exchange Act B.E. 2535 (1992), the SEC Office hereby issues the following regulations: Clause 1 The following Notifications shall be repealed: (1) the Notification of the Office