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
specified in a trust instrument, including any property, interest, debt and liability arising from management of a trust in compliance with a trust instrument or this Act. This English translation of the
Office. It is important to note that this is an unofficial English translation which has not been subjected to an official review by the SEC Office. Readers should be aware that only the original Thai text
trust business, using name, describing or advertising itself as a trustee or any other word of the same meaning shall be liable to imprisonment for a term not exceeding six months or a fine not exceeding
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