sale and redemption of Tokenized Fund units*, with the aim of providing clear and appropriate operational guidance for mutual funds issuing units in such form. The amended regulations have been
Notification: (1) “audit firm” means an audit firm where an auditor is attached to and conducts audit work for; (2) “financial institution” means: (a) a commercial bank, finance company or credit foncier company
trading. B. Entities Providing Liquidity. If any entity has made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker providing liquidity
Notification to an offer for sale of securities under Part 2 or Chapter 2 of Part 3: (1) there is a clear fact to consider that such rules or conditions to be waived are immaterial to the consideration of
firm” means a company that has obtained a license to operate business concerning securities brokerage; “registration statement” means a registration statement for the offering of units of foreign
E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position in the firm Address City State Postcode Country E-mail address Telephone number Fax
/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities - Banking - Digital Assets https
://publish.sec.or.th/nrs/9697p.xlsx QAQR-07.xlsx is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and