financial institution which is under the supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted
professional in accounting, finance, business administration, economics or law; Clause 2. The person with power of management of the derivatives business operator must obtain approval from the SEC Office. Clause
shareholders, for example, the right to buy, sell or transfer shares, the right to obtain correct and adequate information, the right to receive dividends, the voting right at shareholders’ meetings, the right
shareholders, for example, the right to buy, sell or transfer shares, the right to obtain correct and adequate information, the right to receive dividends, the voting right at shareholders’ meetings, the right
from those mandatory targets prescribed by the TFAC (e.g., verified CPD 20 hours per year, and at least 10 hours related to accounting subject)? If yes, explain how and why. 8 How does the firm obtain
profession standards. Furthermore, the SEC representatives attended conferences to share ideas and experiences with the stakeholders and participated in domestic and international symposiums. obtain certain
ทรัพย์ (regulated exchange) (4) “วงเงินจัดสรร” หมายความว่า วงเงินลงทุนในหลักทรัพย์ต่างประเทศหรือ สัญญาซื้อขายล่วงหน้าต่างประเทศซึ่งธนาคารแห่งประเทศไทยมอบหมายให้สำนักงานเป็นผู้จัดสรรวงเงิน” ข้อ 2 ให้ยกเลิก
of proposed representative in Thailand: _______________________________________________________________________ 20) Is such representative regulated by or acceptable to the SEC Thailand? Yes No Address
: _______________________________________________________________________ 20) Is such representative regulated by or acceptable to the SEC Thailand? Yes No Address of registered office: _______________________________________________________________________
country (home economy) to be offered publicly in other participating countries (host economies) through locally licensed or regulated distributors upon approval as an ARFP fund and host jurisdiction