established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
contracts overseas: (1) Government Pension Fund; (2) Social Security Fund; (3) Life insurance companies; (4) Commercial banks; (5) Banks established under specific laws; (6) Securities companies for the
obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph “investor contact
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or others. Clause 3 This Notification shall apply to the licensees of the following licenses: (1
holder as the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a
financial institution established under a specific law and treated as a financial institution under the Law on Loan Interest of Financial Institutions ; (3) Islamic Bank of Thailand; “ obligor ” means a
) “Property Fund” means a property fund established under the Notification of the Office of the Securities and Exchange Commission governing rules, conditions, and procedures for establishment and management of