is any) and must disclose sufficient information for making an investment decision. The levels of regulations will depend on the type of securities being offered; whether they are existing or new
period of time that the SEC could refuse to accept the application. Lead appraiser Being full time casual worker or employee of the applicant; Practicing on asset appraisal continuously for not less than 1
Rules Conditions and Procedures for Being Director or Executive of Other Securities Companies
Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company
Rules for Being Settlor and Trustee of Real Estate Investment Trust
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules for Being Settlor and Trustee of Real Estate Investment Trust (Codified)
(Unofficial Translation)* PROVIDENT FUND ACT B.E. 2550 (No. 3) BHUMIBOL ADULYADEJ, REX., Given on the 12th day of December B.E. 2550; Being the 62nd Year of the Present Reign. His Majesty King
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service