case-by-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
from service provider; (2) Documents and evidence showing that the service provider has sufficient qualifications as specified in Clause 3; The Office of the Securities and Exchange Commission shall
Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
carry out the supervision on behalf of such person together with the following documents (1) Documents showing shareholding structure of companies in the financial conglomerate; (2) Documents showing
advice; (2) an evidence showing the delivery of document acknowledging the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the
; (4) a photocopy of the minutes of the meeting of the existing trade association showing the meeting’s resolution regarding its intention to become an association related to securities business; (5) a
procedure provided in the Office’s electronic work system along with either of the following evidence or reference showing that within the period of two [2] years prior to the date of submission of renewal
; (2) Documents and evidence showing that the service provider has sufficient qualifications as specified in Clause 3. The Office of the Securities and Exchange Commission shall consider and notify, the