view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests, leaking
reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in
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. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
Office. The Office shall grant permission to a management company to establish a branch office provided that the management company meets the following criteria: (1) The management company has sound
where such major shareholder is a legal entity, its director, manager and partner do not have any of such prohibited characteristics; 6) Being able to show its sound and effective management system; (7
the firm promote tax structures or products or provide tax advice - what kind of advice? How does it ensure that there is no doubt as to the related accounting treatment regarding the true and fair view
requesting for permission to establish a branch office, the management company shall submit the form as attached to this Notification. Clause 5. In considering whether the management company has sound
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while