: __________________________________ __________________________________________ (full name) __________________________________________ (company) Form updated as of June 2021 Sales Report Form for the sale of units of foreign collective

. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private Fund Management Company

in the Government Gazette, Special section 121Ngor, dated 21 November 2006. A securities company shall have information and documentary evidence pertaining to inspection on client identification

Procedures for Dealing of Debt Securities (No. 3) dated 31 January 2000. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed

Forms of Securities Companies dated 28 November 2001 shall be repealed. Clause 2. In this Notification: “securities company” means a legal entity licensed to undertake securities business in the category

Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means a company licensed to

Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities

the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance

: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of

company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated person and such transaction is in the manner of unfair treatment to