Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
. ------------------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund
/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Investors and Private Funds ___________________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008
Commission No. SorThor. 67/2543 Re: Rules for Registration of Marketing Officers dated 21 December 2000; (2) The Notification of the Office of the Securities and Exchange Commission No. SorThor. 10/2544 Re
. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale
Exchange Commission governing establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund management company” means a securities company licensed to undertake
private fund management company, the ratio of the shareholders’ equity presented in the latest audited financial statement is not less than that specified in the Notification of the Securities and Exchange