businesses development and supervision. The MoU aims at promoting cooperation on development of derivatives businesses, exchange of information on derivatives business operators, trading systems and research
supervision. 2 According to Notification of Securities and Exchange Commission Kor Jor. 4/2560 on Determination of Definitions of Institutional Investors, Ultra High Net Worth Investors, and High Net Worth
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
take the highest responsibility in Accounting and Finance, the person assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and
price of the newly issued ordinary shares to Private Placement Investors will be prescribed under the Notification of the Capital Market Supervisory Board No. Tor Chor.72/2558 re: the approval for listed
separate from the CIS Operator. In short, after obtaining approval from the Thai SEC to set up a mutual fund and offer investment units to investors, the money received from such offer shall constitute a