Notification of the Office of the Securities and Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of
company” means: (a) Management company; (b) Securities company performing the duties of brokerage, dealing or underwriting of investment units; (4) “Management company” means any mutual fund management
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
assigned investment grade credit rating according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits
Procedures for Dealing of Debt Securities (No. 3) dated 31 January 2000. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed
which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
private fund; “Provident fund” means any provident fund under the laws on provident funds; “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company
of NRI CIS: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed
funds; “ management company ” means a mutual fund management company or a private fund management company, as the case may be; “ mutual fund management company ” means a securities company licensed to
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by