profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the

internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has the power to waive the appointment of independent director temporary or permanently

case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has

including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic

Fund 13) Units of the Hong Kong Covered Fund will be offered/marketed/distributed in Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand: Asset Management Company

กฎหมายต่างประเทศซึ่งสามารถให้บริการเป็นศูนย์ซื้อขายสัญญาซื้อขายล่วงหน้าได้ตามกฎหมายของประเทศนั้นและอยู่ภายใต้การกำกับดูแลของทางการหรือหน่วยงานที่ทำหน้าที่กำกับดูแลด้านสัญญา ซื้อขายล่วงหน้า (regulated

related to properties in or outside the Kingdom including to accept donated properties; (2)  borrow or lend money as well as make investment for profit; (3)  determine the fees for filing registration

licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution/ Corporation/ Organisation (e.g. insurance company