of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law

unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The

securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities

, hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 November 2013. Clause 2 In this Notification: “ intermediary ” means: (1) a derivative business operator in

guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4

Section 81 Securities and Exchange Act B.E. 2535 Section  81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report

following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This

by the Office. 2. Scope of activities The scope of activities must relate to the skills and knowledge useful for performance of duties as investor contact including: 2.1 Business-related knowledge e.g

Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets