แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. SEC Classification : ใชภ้ายใน (Internal) FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note: This annual registration s...

from derivatives for clients; “member of fund investment committee” means a member of a committee which is appointed or assigned by a fund management company to consider and determine the scope of

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in

readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in accordance with laws, regulations

EDITED fourteen days after the date of such appointment or such change. Chapter 2 Management of the Fund _______________________ Section 12. 2 The Minister shall have the powers and duties to supervise and

shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the

and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel

of Director: The Board of Directors has considered the agreement and has opinion that the transaction is necessary and reasonable. F 24-1 Form to Report on Names of Members and Scope of Work of the

build an enterprise architecture that is conducive to cost-effectiveness and overall efficiency.? The MOAs are in line with the SEC mission to supervise and develop a reliable capital market and the LED