such trading.In performing their duties, investment consultants can send trading orders only when obtaining instructions directly from the client.  They cannot make decisions on behalf of clients

institutional or ultra-high net worth investors, investment units of mutual funds with investment in derivatives, hybrid securities, and structured notes. *** Sareerat’s applications for obtaining SEC approval

be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the resolution in order to amend the mutual fund scheme, the

laws and related rules in which the management company should be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the

the current one. - in case of acquiring assets, clarify the types of assets and the approximate spending amount. - in case of investing in a business, clarify the nature of the business to be invested

1. To acquire assets or invest in a business related to the current one. - in case of acquiring assets, clarify the types of assets and the approximate spending amount. - in case of investing in a

) any other information specified by the Office as deemed necessary for protection of shareholders’ interest; (2) obtaining a shareholders’ resolution approving the issuance of underlying shares for the

application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance after

) an application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance

this Notification shall be as follows: (1) an application fee shall be Bath 30,000; (2) a licensing fee shall be Bath 500,000; A licensed person shall pay the licensing fee on the date obtaining a