business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
: .............................................................Juristic Person Registration No............................... head office located at
, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its
providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual fund rating, it shall also comply with Clause
information shall cover at least the following matters: 1.1 Vision, objectives, goals and strategies Provide as much information as deemed appropriate on the vision, objectives, goals and business strategies of
referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
: Facsimile: ________________________________ Objectives of the fund from the securities offering at an approximate amount of _________ _baht are as follows: use of proceeds Estimated amount Estimated period of
, unless permission has been granted by the Office to open or close its office at any other hours or days.