securities company licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives

Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company

the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a fee

the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a fee

ASEAN non-IOSCO/WFE ตามแต่ละ ประเภทของกองทุน เป็นดงัน้ี  กรณี MF PF และ PVD ใหจ้ ากดัการลงทุนใน ASEAN non-IOSCO/WFE อยูใ่นอตัราส่วน junk limit กล่าวคือ (1) Company limit : ทั้งกรณีตราสารท่ีจดทะเบียน

shareholder of the Audit Firm is a company, please specify the major shareholder of that company in order that the SEC Office will have the information of the natural person who is the ultimate shareholder of

of the ultimate shareholder of the Audit Firm. If the major shareholder of the Audit Firm is a company, please specify the major shareholder of that company in order that the SEC Office will have the

personal data submitted via a system by a company or agent assigned by you, or prepared and submitted by the company to the SEC Office: Invitation letters for seminars, circulars, announcements; The

case of foreign ETF established by an investment company, the Memorandum of Association and the Articles of Association, or documents demonstrating establishment of company under the law of the

holder as the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a