, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
reference. PAGE 4 Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional
include it as part of the package of this form NRI CIS Application Form To: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer NRI CIS to non-retail investors in
customers outside its office premises and prescribed business hours, the Office hereby notifies as follows: Clause 1. The Notification of the Securities and Exchange Commission No. OrNor. 26/2544 Re
Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: “ securities company ” means a securities company licensed to undertake securities business in the category of
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
Office of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for the Undertaking of Derivatives Business for Licensed Derivatives Broker dated 22 December 2004, the Office of the
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory service or derivatives advisory service
Clause 12, Clause 15 and Clause 26 of the Notification of the Capital Market Supervisory Board No. TorThor. 80/2552 Re: Rules on Undertaking of Derivatives Business for Licensed Derivatives Brokers dated 3