Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of Private Fund Management Establishment of Mutual Funds Cross-border Offering of Funds Offering of Investment
(“HK-TH MRF MoU”); (ii) the Circular on Mutual Recognition of Funds between Thailand and Hong Kong issued by the SFC on 20 January 2021, as amended from time to time (“SFC Circular”); and (iii) the
Circular The Securities and Exchange Commission, Thailand 333/3, Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand Website: www.sec.or.th Email: hongkongmrf@sec.or.th Page 1 of 15
revokes approval of an investment consultant for performing duties dishonestly and acting in the manner that implies dishonesty SEC revokes approval of an investment consultant for performing duties
Securities and Exchange Commission) Checklist: Documents for a Renewal of Custodian of Private Funds 13. Circular 8/2548 28/02/2005 14. Circular KorNor. 34/2547 30/12/2004 Contact The Securities
Officer 9. Report/Form (Notification of Securities and Exchange Commission) Form EF-4 Revocation of Certifier or Authorized Officer 10. Circular 6/2550 15/03/2007 11. Circular 12/2547
Securities 28/03/2008 16/04/2008 7. Notification of the Office of the Securities and Exchange Commission 52/2552 21/10/2009 01/11/2009 8. Circular 20/2556 29/03/2013 9. Circular 33/2553 22/12
Failed to Maintain Financial Condition 02/12/2015 16/12/2015 6. Report/Form (Notification of Securities and Exchange Commission) 28/06/2010 7. Circular 10/2555 10/07/2012 8. Circular 10/2553
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