agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year
Financial Institution System; (2) Notification of the Securities and Exchange Commission on Rules, Conditions and Procedures on Establishment and Management of Mutual Fund to Solve the Problem in Financial
value or having the income derived from the operation of the assets under (a) (b) (c) or (d) not less than seventy five percent of the company’s total income in each fiscal year; and 2. having its shares
------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์
regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
, settlement month, etc. or the derivatives symbol assigned by a derivatives exchange; (4) The amount and price of a derivatives contract; (5) The type of transaction, such as opening or close-out of derivatives
จำหน่ายไปซึ่งสินทรัพย์ที่สำคัญของบริษัท* 1.1 ข้อมูลบริษัท ชื่อบริษัท :..................................ระบุชื่อภาษาไทย.............................................................(“…symbol……”) มีที่ตั้ง
month, etc., or derivatives symbol assigned by a derivatives exchange ; (4) amount and price of derivatives contract; (5) transaction type such as an opening or close-out of derivatives position; (6) fees