the case where the units of the foreign ETF are listed on more than one exchange, the term shall mean the exchange specified by the foreign ETF as the home exchange; “CIS operator” means a person who is
company" means a securities companies licensed to undertake securities business in the category of mutual fund management; “unit” means an investment unit of mutual fund or trust unit of trust, as the case
Thailand, unless specifically exempted under the terms of an applicable double tax treaty, in case that the Offeree is a foreign juristic person not operating any business in Thailand and not residing in a
dates on which such payments are due. 5. In addition, the prospectus shall describe any arrangements for transfer and any restrictions on the free transferability of the debt securities 6. Disclose the
sale or transfer of the important parts of the business of the Company to other persons pursuant to Section 107 (2)(a) of the Public Limited Companies Act B.E. 2535 (1992) (as amended) with the value
requirements under this Notification. In case of having complied with 9 Amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 70/2561 Re: Rules on Personnel in the Capital Market
mobilizer as prescribed under Clause 1 (2) (3) and (4), as the case may be, only in the case where a foreign business issues a private placement of debt instrument or sukuk. Clause 23 A foreign auditor who
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
financial statements of NMG. The evidence in this case has revealed that the NMG’s financial statements for the year 2015 to 2017 showed manipulated income and unrealized advertising income, which were in
March 2019. Therefore, SEC will not accept her future application for approval as personnel in the capital market for 15 months in the same manner as for the case of her approval as investment