) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
mutual fund in a report or document sent to unitholders at least once a year and shall publish the same information on its website. In case of any change on such information, the management company shall
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk
records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained. In this regard, the
disclose the list of fund manager of each mutual fund in a report or document sent to unitholders at least once a year and shall publish the same information on its website. In case of any change on such
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
selling investment units or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the