the Kingdom of Thailand , as the case may be, the report would be able to provide in English language. (2) 45 days as from the closing date of the offering period in case of: (a) an initial public
quantitative investment analysis such as an analysis of a financial statement and qualitative analysis such as an analysis of policy of the company that issued the instrument which the fund intends to invest
for an approval and the granting of an approval shall be in accordance with the rules, conditions and procedures as specified in the notification of the SEC.
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
Company has shares or convertible securities as an underlying securities for issuance of investment units of mutual funds for foreign investors (Thai Trust Fund) and the Non-Voting Depository Receipts (NVDR
fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as prescribed by the Office. The Office shall finish the consideration of
shall apply. Section 17. 3 The fund manager shall prepare an account segregating all fund assets by recording incomes and expenses according to the types of funds, as follows: (1) in case of pooled fund
intends to extend the due date by rolling over or extend the period of the deposit, such asset may be classified as a long-term deposit at a financial institution or an investment (as the case may be
procedures; “ derivatives business operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports with the SEC Office. Clause 2 A derivatives business operator
advisors on dispute resolution by an arbitrator on the SEC Office’s list, shall come into force as from 1 January 2016; (2) Clause 17, which is related to arrangement of agreement with clients on provision