academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
Office No. SorKhor. 49/2552 Case Other Qualifications Academic Qualification Relevant work experiences1 Having passed the course on business knowledge and regulations related to being category A investor
of the fair value of any asset, a value that follows an academic principle that is recognized or complies international standards shall be used. Clause 13 In case the fund applied for the establishment
/ Soi Road Sub-district District Province Zip Code Country Tel. Fax. E-mail Overseas Address : (only for a non-Thai national, please specify overseas contact address) 1.6 Academic Background Highest
be done by professionals and based on recognized academic principles. Clause 35 In case a client ’s suitability to invest in or enter into a transaction of capital market products is unable to be
: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from
publicly about sale promotion in advance within appropriate period; (5) in case of sale promotion of offering for sale of investment units, a securities company licensed to undertake mutual fund management
form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008
involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance