CIS Operator ) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the appointment of an authorised person
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
securities brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “ agent ” means a person who is appointed by a securities
(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require
regulatory association approved by the Securities and Exchange Commission; “Mutual fund” means any mutual fund established under the laws governing securities and exchange; “Marketing agent of fund manager
case of foreign ETF established as trust [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the
-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company
. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the appointment of an authorised person of CIS Operator ( issued
firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS