the SEC Office: (a) identifiable information manifesting the client and all persons who are the beneficial owners of derivatives contracts regardless of directly or indirectly; (b) the purposes of

Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural

Process ______________________________ Clause 8. Securities company must conduct know-your-client/ customer due diligence process (KYC/CDD) on the client and the ultimate beneficial owners and controlling

underlying shares of warrants , shall be submitted by using form 81-2 as provided on the website of the SEC Office within 45 days as from the last date of exercise period. In case the holders of structured

) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for

มาตรฐานการรายงานทางการเงินที่เกี่ยวข้อง ส่วนของเจ้าของ (Owners' equity) 22. ทุนที่ออกและชำระแล้ว (Issued and paid-up share capital) หมายถึง จำนวนหุ้นและมูลค่าหุ้นที่ตราไว้ของหุ้นที่ได้นำออกจำหน่ายและเรียก

data or documentary evidence used for verification of identity of its clients, beneficial owners and controlling persons of the clients, including any data or documentary evidence relating to its clients

with regard to trading of government bonds or bonds whose principal and interest are guaranteed by the Ministry of Finance and subject to the regulation whereby the holders of such bonds are entitled to

, and whose unit holders are all institutional investors in accordance with the definition of “ institutional investor ” in the Notification of the Office of the Securities and Exchange Commission No. Sor

manager would damage the benefits of the mutual fund or would undermine the confidence of the unit holders of mutual funds in the investment management sector. Clause 14. In cases where the Office does not