:- (1) the client’s name is listed on the database in Clause 14(1) or (2), or the client’s nationality, residential address, source of fund, country of origin, contact address, or business address is in a

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by

its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office

following business day of the transaction date. Clause 27 For the purpose of sending out confirmation statements under Clause 26: (1) in case of a transaction executed in a foreign country, a confirmation

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business

sale or acceptance of redemption of investment units in a foreign country. In appointing a juristic person as marketing representative of private funds under (2), the management company shall appoint a

country fund หมวด 7 หลักเกณฑ์เพิ่มเติมของLTF หมวด 8 หลักเกณฑ์เพิ่มเติมของ ETF หมวด 9 บทเฉพาะกาล หมวด 1 บททั่วไป ส่วนที่ 1 หลักเกณฑ์ทั่วไป ส่วนที่ 2 Proxy Voting ส่วนที่ 3 การจัดทำและส่งรายงานต่อสำนักงาน