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request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
: (1) a person who has a relationship or association with a mutual fund management company or property fund management company according to the appendix attached hereto; (2) persons in the same group as
fund after the initial investment, should the total value of all transactions made between the property fund and related persons in the same group within any six-month period exceed a hundred million
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business
the information on the appointment and the discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request. (1) the persons
discontinuation of the following persons and keep it at the company to be ready for retrieval or inspection by the SEC Office upon request: (1) the persons under Clause 5 and Clause 6 of the intermediary who is a