Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact Sheet / Product Highlight Sheet (Part I
longer provide service for securities company . Clause 8. Securities company shall require service provider to keep, complete and update documents and evidence of service provider. Such keeping shall be
shall comply with the requirement set out in the second paragraph. Clause 7. A securities company shall update information relating to the personnel in charge of operations under Clause 6(2) and of the
service or back office service; “Securities company” means any company licensed to undertake securities business in the category of securities broker according to the Securities and Exchange Act B.E. 2535
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2
) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person
regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined
(ข้อ 37) ให้คู่สัญญาทำการคำนวณและแจ้งมูลค่าของสัญญาทุกวันที่ 15 และวันทำการสุดท้ายของเดือน ในกรณีเกิดเหตุการณ์ไม่ปกติให้คู่สัญญาทำการ update ราคาและแจ้งให้บริษัทจัดการทราบทันที และบริษัทจัดการต้อง unwind