. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services
consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment
รับการประเมินความพร้อมภายใต้โครงการประเมิน การปฏิบัติตามมาตรฐานสากล (Report on the Observance of Standards and Codes : ROSCs) โดยผู้เชี่ยวชาญจาก World Bank (WB) และ International Monetary Fund (IMF) ใน
, regulations, codes of conduct, and relevant law. In case such investor contact also obtained approval to be derivatives investor contact, the syllabus of the training, activities, or additional courses must
codes of conduct and professional standards as specified by the associations and approved by the SEC Office or the agencies relating to capital market business which are recognized by the SEC Office; (5
; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total
following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person
shares sold of the Company. 1.2 Nature of Business 1.2.1 Income structure1 In case of more than one product line or business group, disclose the income proportion of each product line or business group
being fund supervisor are unlimited liabilities partners or limited liabilities partners that hold shares in an aggregate of more than ten percent of the total shares of such limited partnership; (3
. Stocks right and warrants means value of right issued by the company to the holder in order to purchase an ordinary share or preferred share, including shares issued for increasing paid-up capital warrant