which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

of such plan and prediction as well; - In case of issuance of debt securities with an obligation to maintain financial ratios, clarify whether such obligation has been fulfilled. (Compare the actual

, clarify the results of the implementation of such plan as well; - In case of issuance of debt securities with an obligation to maintain financial ratios, clarify whether or not such obligation has been

those persons have breached the obligation under the first paragraph which cause the intermediary to breach or fail to comply with the rules under this Notification, the intermediary shall have measures

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................

ไปกว่าทรัพย์สินที่ต้องการป้องกันความเสี่ยง (underlying obligation) ให้บริษัทจัดการคิด company limit ที่ผู้ขายประกันความเสี่ยงแทน underlying obligation ได้ โดยให้คิดเท่ากับมูลค่าชดเชยสูงสุดที่ต้องชำระ

delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of

exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary

any center or network with the characteristics as specified in the notification of the SEC. “trade in derivatives” means to enter into a derivatives contract. “derivatives position” means an obligation

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities