investment units, debt securities, equities, derivatives and provident funds. Instead of doing the suitability test prior to every investment in new products, investors can do one set of the test for
Dissemination of Information Relating to Securities Offering Prior to the Effectiveness of Registration Statement and Draft Prospectus (No. 2)
Dissemination of Information Relating to Securities Offering Prior to the Effectiveness of Registration Statement and Draft Prospectus (No. 3)
th quarterly financial statements prior to submitting audited annual financial statements - The review of 1 st , 2 nd **, 3 rd and 4t h quarterly financial statement shall be submitted
://publish.sec.or.th/nrs/6497pe.doc The Office of the Securities and Exchange Commission , exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting
consist of at least six [6] hours’ study on derivatives business knowledge. (2) submit to the Office the renewal application, at least one month but not exceeding four months, prior to the expiry date as
investor contact and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as
investor contact and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as
need of improvement continued to decline. These positive facts reflect the overall quality improvement of audit firms and auditors in the capital market thanks to the continuous dedication and
Dissemination of Information relating to Offer for Sale of Units of Real Estate Investment Trust prior to the Effective Date of a Registration Statement and Draft Prospectus