subsequently to operate securities business. This does not include financial institutions licensed to undertake securities borrowing and lending business which offer custody for clients’ assets related to
Thailand to set up a mutual fund and offer investment units to investors, the money received from such offer shall constitute a pool of assets that is required to be registered as a mutual fund with the Thai
Definitions in Notifications relating to Issuance and Offer for Sale of Securities. Clause 22 In cases where a securities company undertakes physical keeping of clients’ assets by itself, whether in its own
reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and
Re: Application to offer Foreign ETF in Thailand I/We _________________________________________________ as an operator of _____________________________________________ hereby notify the Securities and
or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
unitholders and the management company ; (3) the prospectus for the offer for sale of fund units; (4) the registration of a pool of assets as a fund ; (5) the preparation of unitholder register; (6) the
, Thailand Re: Application to offer ARFP Passport Fund publicly in Thailand I/We _________________________________________________ as an operator of _____________________________________________ hereby notify