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
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
: ______________________________________ 5) Type of ARFP Passport Fund: (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
compliance of user account and password. · Providing the identification and authentication measure prior to access to the computer system strictly such as impose hardly password for presumption etc. and
regarding communication with and providing services to clients on a case-by-case or temporary basis. In this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause
expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the
. Minority interest Total Shareholders’ equity Total Liabilities and shareholders’ equity The ………………………… securities company limited Income statement For month/year ending…………………………………. Assets (Unit:Baht
the association related to securities business are in accordance with Section 234 of the Securities and Exchange Act B.E. 2535 (1992) , and are not in contravention of the law nor impose a threat to the
Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors
this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and