. TorThor. 30/2559 Re: Rules for Operation of Derivatives Exchange The Notification of the Securities and Exchange Commission No. KorDor. 15/2553 Re: Determination of Fees for Undertaking Business of Licensed
: Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking Securities Business License in the Category of Investment Advisory Service B.E. 2545 By virtue of
Private Limited Undertaking for Collective Investment in Transferable Securities (UCITS) (Luxembourg) (Active Management) / / / / ( / REIT ) 30 % 70 % 1. (Structured Note) 2. (Unlisted Securities
specifies rules relating to securities issuance, offer for sale of securities or undertaking of securities business but not specifically determine the definitions of institutional or high net worth investors
undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has
general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for undertaking 2
securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in
, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in the category of
, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in the category of
brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border