Office of the Securities and Exchange Commission. Clause 3. The securities company shall prepare a financial statement in accordance with the format annexed to this Notification and shall also comply with
3. For a private fund management company which has a license to conduct another securities business, if the company has been permitted by the Office to establish a full-service branch office for the
management company shall comply with the following rules: (1) a person to be appointed shall be a person whose name is on the register of persons qualified to be fund manager. In this regard, the management
Translation (Translation) - 1 - Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot
Dealing which are not Debt Instruments (No. 8) dated 28 February 2005. (Unofficial Translation) Page 3 of 12 Clause 3. In this Notification, the provisions relating to a company licensed to undertake
(Translation) (Translation) PAGE (Translation) 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
of Thailand or the over-the-counter center is incorrect. The management company shall arrange to maintain a copy of such report under (1) hereof at its office for inspection by the Office. (Translation
From-To Reason for Company (month/year) changing job/position 1.2 Juristic person (1) Name………………………… Category of juristic person……………… (2) Established under the law………………………………………………… (3) Under the