holder as the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a

licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has

Exchange Commission. Clause 3. The following securities companies shall pay fees to the Office at the rate of one percent per annum on their income, but not less than Baht two hundred thousand and not

its personnel and its clients and between a client and another client ; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your

the amount calculated in proportion to the remaining days of the calendar year where the license is obtained. Any association related to securities business which fails to pay the correct fee in full

receive payment from the seller under the conditions specified in the contract. The buyer is required to pay a premium to the seller in exchange for such right to buy or sell. Options which grants the buyer

-2033-9660 27 January 2021 Attention: President of the Association of Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All

units with an agreement that the insured shall pay premium to the life insurance company for protection against death or payment upon life and the insured shall pay for the purchase of the mutual fund’s

Credit หรือทำสัญญาซื้อขาย Carbon Credit ล่วงหน้ากับโครงการลดการปล่อยก๊าซเรือนกระจก และจ่ายผลตอบแทนหรือคืนทุนให้ ผู้ลงทุนเป็น Carbon Credit (pay in kind) นอกจากนี้ กองทุนยังสามารถลงทุนในตราสารทุนหรือ ตราสาร

pay for the application fee after the SEC Office has received the application together with the correct and complete evidentiary documentation according to the Licensing Manual for the Public. The