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
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
including brokerage, dealing or underwriting of securities limited to debt securities or investment units. Clause 2. A securities company shall undertake trust business upon obtaining a license to undertake
opportunities or constraints – for example, obtaining a business license, concession or investment promotion – and clarify the respective benefits thereof as well. In the event that the Company or a subsidiary
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 ....................................................................................................................................................... .................
, which shall be held within a specified period, and in any case, shall not be later than one hundred and twenty days as from the date of obtaining the license and the registration as an association related
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
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
: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not