-ร่าง- (UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 28 November 2018 Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 39/2559 Re: Application for Approval and Granting of Approval for Offering of Newly Issued Shares _____________________ By virtue of Section 16/6 and Section 89/27 of the Securities and Exchange Act B.E. 2535 (1992), as ame...
prohibited characteristics or prohibited behaviors as prescribed by the SEC. Audit Firm Qualifications having audit quality control system which is sufficient and reliable for supervising its
characteristics or prohibited behaviors as prescribed by the SEC. Audit Firm Qualifications having audit quality control system which is sufficient and reliable for supervising its auditor's work in compliance
sufficient and reliable for supervising its auditors’ work performance to comply with the professional standards on a continuous basis. Such audit quality control system shall comply with the audit quality
responsibilities of ownership are appropriately and fully delivered in their interests and on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional
clients, an intermediary shall comply with the rules prescribed in Chapter 1/1 of this Notification as well as have operating systems for supervising the procedure of such communication and service
which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. 2 The Law on Financial
which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. 2 The Law on Financial
investment units of foreign fund, such fund shall be in conforming to the following conditions: (a) it has to be under the supervision of a regulatory agency supervising securities and securities exchanges
responsible for the safe keeping of the trust’s assets and supervising the trust manager and other delegates (if any) to act in accordance with any such agreements and the laws; If the investment will be made