information 16. Management discussion and analysis Part 3 Information on the offer for sale of securities 1. Details of the securities being offered for sale 2. Transfer restriction of the securities being
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
) .......................... …….… ................... ………..………….. Details of duties and responsibility ……............................................. Form as of 25 July 2006 3.3 Additional Training O Having passed or being under a training course relating to the role
the following characteristics: (1) being a product issued or offered for sale aboard, and the issuer or the offeror has no intention to offer such product in Thailand; (2) being a product with the
“Yes”, please provide the following details: The list of exchanges that foreign ETF is traded on ____________________________________________________________________
internal control or the compliance and information management system, nor being in the process of amending thereof, unless granted an exemption from the SEC Office. (Details of the matters subject to
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
_______________________________________________________________________ _______________________________________________________________________ Company’s website: ______________________________________________________ 14) Details of contact person at the CIS Operator
Derivatives Intermediaries (No. 2) dated 3 June 2014 , the SEC Office hereby issues the following regulations: Clause 1 The provision in this Notification is prescribed in details of appointing an independent