specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number _______ Country of issue of Passport Issued by Issued date Expiry date CPA license number Issued by

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business

best interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the overall business operation the Company or the group of companies. 1.3.4 Shareholders

or the law on securities and exchange, as the case may be, and the regulations issued by virtue of the said laws. Clause 3 This Notification shall govern the segregation and management of the assets of

sale or acceptance of redemption of investment units in a foreign country. In appointing a juristic person as marketing representative of private funds under (2), the management company shall appoint a