the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange
derivatives broker start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange Commission
UNOFFICIAL TRANSLATION Codified up to No. 6 As of 12 April 2019 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information
policies and procedures maintain or provide its personnel access to adequate and up-to-date audit manual, firm’s policies and procedures and reference materials which include materials related to the client
…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the
should be notified to the investors in support of their decision making. Part 2.3 Management and Corporate Governance 9. Securities and shareholders 9.1 Amount of registered capital and paid-up capital (1
(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
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or