draft prospectus with the SEC and the registration statement has become effective.3 If the Hong Kong Covered Management Company files the registration statement and draft prospectus together with the

sasipim Typewriter (ไม่เปิดเผย) sasipim Typewriter (ไม่เปิดเผย) sasipim Typewriter (ไม่เปิดเผย) 6. 1 - 39/2553 23 2553 8 1. 2. (Governance and Leadership) 3. (Relevant Ethical Requirements) 4

Thailand for foreign ETF operator. The person who files the application under the first paragraph shall pay the fee for examination of characteristics of foreign ETF units at the amount of fifty thousands

trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique

requirements by the intermediaries, the SEC Office, by virtue of Clause 5(3) in conjunction with the first paragraph of Clause 12 (11) and (12) and Clause 14 of the Notification No. Tor Thor. 35/2556, hereby

: Clause 1. The following Notifications shall be repealed: (1) Notification of the Securities and Exchange Commission Re: Requirements relating to Accounting of Securities Company dated 18 May 1992; (2

following criteria: (1) there shall be no less than fifty subscribers; (2) the total subscription amount shall at least meet the following minimum requirements: (a) for depositary receipts that are shares

AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific

2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3

Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (2) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (1) 4 (Human Resources) ( ) ( ) 5