Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of

between the mutual fund management company and a mutual fund under its management shall be in accordance with the specific rules prescribed under Clause12; (2) the appointment of a custodian who is a

No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By

meeting of securities holders. “Central securities depository” means any central securities depository under the law on securities and exchange; “Margin account” means an account of client’s loan for

unitholders’ meeting whereby the units shall be offered for sale to every unitholder equally, and shall not be offered for sale to any unitholder who will cause the fund or the management company to have duties

securities companies, an officer of the Bank of Thailand or of the Office, except in cases where: (a) an appointment is made with the approval from the SEC for the purpose of assisting in the operation of a

. 23/2544 Re: Rules, Conditions and Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the

accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2