Content Investment Consultant/Investment Planner Related Manuals and Guidelines Practical guidelines (Thai Version Only) Frequently Asked Questions ( FAQ ) (Tha i Version Only) R ules on
personnel the wealth advisory function. Steps of Applying for approval Notes 1. Filing forms for pre-approval can be requested and submitted at tanyanan@sec.or.th / pornpong@sec.or.th 2
file Form 69 – CIS material update .doc file / .pdf file Sales Report Form .doc file / .pdf file FAQs Frequently Asked Questions on the ASEAN CIS Framework List of approved ASEAN CIS List of
limitation period of the civil cases which may be requested for a Class Action in order to deal with the offence or liability under the Securities and Exchange Act B.E. 2535 (1992) and amended versions (“the
other information or taking any other necessary actions as requested by the SEC, notifying the change of the audit firm as pe r Form 61-3F provided on the website of the SEC within 30 days as from
requested by the SEC, notifying the change of the audit firm as per Form 61-3F provided on the website of the SEC within 30 days as from the last day of serving the previous audit firm. 6. Termination
file FAQs Frequently Asked Questions on the HK-TH MRF List of approved HK-TH MRF Funds Inbound Outbound ASEAN Collective Investment Schemes (CIS) Asia Region Funds Passport (ARFP) Foreign
Asked Questions on the ASEAN CIS Framework List of approved ASEAN CIS List of Retail ASEAN Collective Investment Schemes for General Public Outbound Name of CIS Name of CIS Operator Date of CIS