securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail client , the securities company
documentation to be informed of the client ’s financial status and debt-paying ability. In case of a retail client , the securities company shall arrange sufficient information or evidentiary documentation to
opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and
company shall keep such record into recording tape or electronics recording appliance. Clause 19/1. In dealing with retail client, a securities company shall arrange to have documents or evidence showing
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Sales Report Form for the sale of units of foreign collective investment scheme offered in
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Form updated as of June 2021 Sales Report Form for the sale of units of foreign collective
Law; (2) investment units are offered for sale while the mutual fund management company fails to comply or ensure compliance with the rules related to offering for sale of investment units of retail
include it as part of the package of this form NRI CIS Application Form To: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer NRI CIS to non-retail investors in
(company) (* The registration statement shall be signed either by a CIS Operator or an authorised person of the CIS Operator. The person who signs shall state his/her full name and capacity and shall ensure
) _________________________________________ (company) (* The registration statement shall be signed either by a CIS Operator or an authorised person of the CIS Operator. The person who signs shall state his/her full name and capacity and