Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting

and registered with the Office, whose main objective is to promote and develop securities businesses in the category of investment management; “Customer” means any person who authorizes a management

maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities

private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe

, Management and Investment of Mutual Funds Offered to Non-Retail Investors ; (2) investment units of a mutual fund of which the investment policy allows to invest in any asset generating returns upon complex

supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as appropriate to

mutual fund whose investment policy allows investment in non-investment grade or unrated bond more than sixty percent of the net asset value; (6) hybrid securities with debt repayment period longer than

investment in commodity-linked derivatives or instruments; (e) investment units of a mutual fund of which the investment policy allows to invest in non-investment grade more than 60 percent of net value asset

(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...

permits by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person granted a license to undertake derivatives business in the category of