Mr. Riaz Patel Mr. Riaz Patel (New Zealand nationality) conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16

investors and beneficial owners of Thai nationality (“Thai investors”) to convert NVDR to common shares. In support of the amendment, the SEC has introduced the fee waiver regulations with the key points

transactions who are of Thai nationality. In this regard, the local securities companies are required to submit a report to the SEC at the end of each month and upon the closing of the shareholders register

nationality, on account of operating securities business without license.? Several foreign investors informed the SEC that Mr. Malpass, who resided in Thailand, had solicited them to transfer their pension

of the true identity of the clients and their beneficiaries involved in NVDR transactions who are of Thai nationality.        The consultation paper is available at https://www.sec.or.th/TH/Pages

company is aware of the true identity of the clients and their beneficiaries involved in NVDR transactions who are of Thai nationality.        The consultation paper is available at https://www.sec.or.th/TH

(Thai/English), date of birth, citizenship, sex, marital status, father’s name/mother’s name, (former) titles, (former) surnames, name of spouse, etc. Contact information: Information for contact purposes

): ...................................................................................................... Tax Identification No. (if any): ............................................................................................................... Nationality

nationality or invest through an omnibus account. Chapter 3 Outbound Offering for Sale of Mutual Funds __________________ Clause 7 In outbound offering for sale of a mutual fund under this Notification in host

/English), date of birth, citizenship, sex, marital status, father’s name/mother’s name, (former) titles, (former) surnames, name of spouse, etc. Contact information: Information for contact purposes