to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

foncier companies; (Translation) -2- (5) insurance companies; (6) juristic persons but not include any juristic person as prescribed in (8); (7) international financial institutions; (8) government agencies

SEC Office under this Notification shall be in accordance with the following criteria except when granted a waiver from the SEC Office as deemed necessary and appropriate: (1) the person having duty

where the home regulator is established; (4) a letter appointing a brokerage firm to perform duty as a representative responsible for the trading of units of ASEAN Collective Investment Scheme in Thailand

Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of

Establishment and Management of Property Funds; “paid up capital” means the total value of the units which are paid in full. “REIT manager” means a person who performs the duty as REIT manager in accordance with

fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including

the auditor is under, and person or business related to the auditor and the audit firm where auditor subjected to. In this regard, specify by: (1) audit fee; (2) non-audit fee; for disclosure of non

the currency in which any amount payable on the debt securities. In case the payments on the debt securities are payable in two or more currencies, indicate whether any person holds an option to

management or the person within the issuer who is responsible for the information contained in the registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's