UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 32/2559 Re: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories By virtue of Section 16/6, Section 223/3, and Paragraph 2 of Section 228 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securi...

for offering or being going to offering for sale securities prior to effective date of registration statement and draft prospectus, the information in the advertisement shall be legally referred and

18, the applicant that is a Foregin entity shall comply with the following requirements: (1) showing that the offer for sale of bonds is legally made under the foreign law that such entity registered

operated under the obligations specified and approved by the Ministry of Finance; (2) the foreign entity is able to demonstrate that the offer for sale of the debt securities is legally made under the

obtain an approval for a public offering of newly issued shares after demonstrating to the SEC Office that it has the qualifications and complies with the following conditions: (1) legally eligible for

registered records concerning assets or collateral relating to the assets under an approved project, mutatis mutandis. Section 18. The transfer of assets under an approved project which legally carries

under an approved project which legally carries interest at the rate exceeding fifteen per cent per annum shall not be subject to the provisions of Section 654 of the Civil and Commercial Code. The

assets under an approved project which legally carries interest at the rate exceeding fifteen per cent per annum shall not be subject to the provisions of Section 654 of the Civil and Commercial Code. The

affiliates) and the rated entity, obligor, originator, underwriter, or arranger (or any of their affiliates), or any other party. 2.5 A CRA should operationally, legally, and, if practicable, physically

Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause Analysis...................42 Framework and Focuses in 2017...................44 Essential St...