Securities company shall supervise service provider to perform its operation in compliance with rules prescribed by the Securities and Exchange Commission or the Office and the guidelines provided by
as requested. Clause 9. In compliance with Securities company shall supervise service provider to perform its operation in compliance with rules prescribed by the Securities and Exchange Commission or
investment scheme]. Clause 10. Securities company shall submit to the SEC Office information and certification obtained from person responsible for undertaking of foreign collective investment scheme under
, having obtained securities brokerage license [under the Securities and Exchange Act B.E. 2535 (1992)], which provides services [as an agent] for selling, repurchasing and redeeming units of foreign
management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in
has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. 2 law on loan
foreign collective investment scheme. “home regulator” means a supervisory agency of an ASEAN country which has the authority to supervise a foreign collective investment schemes or CIS operator. “brokerage