firm” means a securities company having obtained securities brokerage license [under the Securities and Exchange Act B.E. 2535 (1992)]. 3 Chapter 2 Offering for Sale Regarding Units of Foreign Collective
Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4
under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator
future. The new preventive measures will also come with traceability, enhancing the ability to trace back the route of the product. At the current stage, the Company is working on process improvement
redemption under a firm quotation price or at a minimum price pre-determined on the issue date of such bonds by a securities company which has been appointed as the selling or redemption agent of such bonds
personnel of the securities company. In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work units and personnel who have an
, and such risk may cause investors to lose invested money or receive a return at a lower rate than what they should have received. 4 Part 2 REIT Operation 1. General Information Specify name of REIT
: Facsimile: ________________________________ Objectives of the fund from the securities offering at an approximate amount of _________ _baht are as follows: use of proceeds Estimated amount Estimated period of
ส านักงานสอบบัญชี ให้ส านักงาน ก.ล.ต. ภายในเดือนมิถุนายนของปีถัดไป แบบ 61 – 6 สารบัญ ข้อมูลเกี่ยวกับส านักงานสอบบัญชี 1. โครงสร้างเงินทุน 2. กิจการในเครือเดียวกับส านักงานสอบบัญชี หรือ network firm 3