) baht; (2) There being no event which may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than
show that such securities trading is executed after the client has received general advice , specific advice or has not received investment advice . Clause 21 A securities company shall examine and
storage. Clause 20 In trading securities with a retail client, a securities company shall prepare evidentiary documentation to show that such securities trading is executed after the client has received
sufficient clarity to enable the identification and assessment of risks relating to objectives. Questions Yes No 6.1 The company is able to comply with the generally accepted accounting principles which is
digital assets to facilitate illegal financial transactions, while ensuring regulatory clarity to facilitate legitimate uses of digital assets.? Pursuant to the Royal Decree, digital assets include
. Clarity The definition, perimeter and underlying methodologies for all the selected KPIs are defined and disclosed in the Framework and in internal documentation. For KPI 1 and 2, the Issuer’s methodology
Shareholders No. 1/2021 (Change PDF clarity) 24/08/2021 20:15 Acquisition of assets and determination of the meeting date, the date to determine the name list of shareholders being entitled to attend the meeting
related party transactions as well as the re-definition of relevant terms to increase clarity and flexibility. In so doing, the SEC refers to international regulatory guidelines and takes into account the
promotion of other types of mutual funds to enhance clarity and appropriate flexibility for such activities. The consultation paper is available at www.sec.or.th. Stakeholders and interested parties are
different types of securities offering, to improve clarity and practicality. The notification of the amended regulations has been published in the Government Gazette and will take effect as from 1 July 2023