. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
) [ ] [ ] 2. Key Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to
contained in the Registration Statement is vested in the issuer. If the Registration Statement contains any false statement or particulars or omits to state any material information which should have been
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS Operator Please
. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor. 19/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to