to each class of investment units; (b) How much is the capital amount of the fund scheme? In case of an open-end mutual fund, information on the capital increase policy after registration of the pool
subsequent capital increase with the assistance of state agencies or state financial institutions, unless an exemption has been granted by the Capital Market Advisory Board. (c) Category II: Prohibited
cooperation helps increase confidence in financial reporting and makes the Thai capital market more attractive to investors. Global acceptance • Thailand’s auditor oversight has recognition in European
increase overall effectiveness and efficiency of audit processes. In anticipation of the possible auditor shortage due to future market expansion, the SEC has partnered with the FAP and created the training
capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights; (4) a
invest in capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights
invest in capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights
[existing] clients of an intermediary; “institutional investor”5 means an institutional investor as specified in the Notification of the Securities and Exchange Commission concerning the Determination
provided in item 3.3.3(1) above, as long as the discretion is exercised in furtherance of the objective to facilitate the continuous mobility of the existing Recognised Representative. 3.3.4 Procedure for
paragraph shall also apply to existing digital tokens issued by an offeror with the intention to offer them to the public. The application for the offering of digital tokens and its approval under the first