Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to
is the rightful account owner or a person who has been authorized by the rightful account owner in writing. Clause 26 The derivatives broker shall prepare and update records of derivatives trading
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact Sheet / Product Highlight Sheet (Part I
broker shall conduct customer due diligence for time to time and shall require to update customer’s information, beneficial owner and controlling person of the customer as well as review debt repayment
technology, and the service provider that supports the operation of the organization’s information systems, and update contacts of each channel. Additional Guidelines 1. The intermediary should assign a senior
interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the overall business operation the Company or the group of companies. 2. Nature of business In case
best interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the overall business operation the Company or the group of companies. 1.3.4 Shareholders
ดังต่อไปนี้ (1) กรณีกองทุนรวมจัดตั้งใหม่ กองทุนรวมที่จัดตั้งตั้งแต่วันที่ 1 สิงหาคม 2560 : ต้องจัดทำตามรูปแบบใหม่ (2) กรณีกองทุนรวมที่ต้องมีการ update factsheet และหนังสือชี้ชวน (ก) กองทุนรวมขนาดใหญ่