which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
subsidiaries operating the core businesses and other oversight guidelines for activities such as approval of increase or reduction of capital and dissolution of subsidiaries, etc. In case of a holding company
delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
, conditions, and procedures for the following matters for compliance by management companies : (1) the sale and redemption of investment units of mutual funds , the increase or reduction of investment units of
companies to comply: (1) Sale or redemption of investment units of a mutual fund, increase or reduction of investment units of a mutual fund or fund units of a provident fund, payments for redemption of
(3); (b) The licensee having a legal entity in the conglomerate being a securities company obtaining a securities business license type A where the said securities company has been granted a reduction
to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
license type A where the said securities company has been granted a reduction in the securities business license fee in accordance with the Ministerial Regulation Concerning Granting of Approval for