or conditions prescribed in the relevant Notifications, but a certain fact leads to it being considered that the true objective or the substance of the management of such mutual fund constitutes an
(Whitewash) from the SEC (within 3 months from the date on which the Shareholders’ Meeting passes the resolution). This will be valid and applicable to the investor (including the person according to the
auditor approved by the SEC Office. The provision under sub clause (4) of the first paragraph shall not be applicable, in case the income guarantor has arranged either a letter of guarantee issued by a
: Determination of Fees for Undertaking Business According to Licenses (No. 3) dated 24 April 2017 (effective on 16 May 2017). 3 (5) private fund management. 1The provision under Paragraph 1 shall not be applicable
in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
rules applicable to securities companies and derivatives business operators market in general.(3) To specify rules on NC maintenance to be applicable to the business operators which also operate the
=7348 SEC to revise net capital rules applicable to securities companies and derivatives business operators market in general.(3) To specify rules on NC maintenance to be applicable to the business
https://publish.sec.or.th/nrs/8271p.doc แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ ownership (for example, land, building, factory and machinery), and the characteristics of ownership (if applicable). The