Complex Type 2 Investment Consultant
predicate offense under the Money Laundering Control Act. The SEC has therefore forwarded the case to the Anti-money Laundering Office for further consideration regarding relevant matters. In any case, filing
) Such delegation must obtain consent from the customer. Any person to be appointed as a marketing agent of the derivatives fund manager shall be approved by the Office in accordance with the rules as
derivatives fund manager; and (2) Such delegation must obtain consent from the customer. Any person to be appointed as a marketing agent of the derivatives fund manager shall be approved by the Office in
Notification of the Office of the Securities and Exchange Commission (Translation) (Translation) - 8 - Readers should be aware that only the original Thai text has legal force and that this English
association relating to securities businesses which has been approved by and registered with the Office and whose main objective is to promote and develop securities businesses in the category of investment