person acquires additional units, the total value of the units held when combined with the existing units shall be no less than ten million baht. The calculation for the total value of the units held in
business applying for establishment; (2) a photocopy of the license of the existing trade association; (3) the regulations of the existing trade association certified by the Registrar of Trade Associations
companies, guidelines under the first paragraph shall require the employee to inform securities company about the existing of such account including the information of securities trading of the spouse and
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights
units of domestic money market fund; (4) the clients who wish to invest in shares or share warrants of a company and they are existing shareholder of the company while there is such investment. In case
Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
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
: · communications with existing or previous professional accountants; · inquiry of personnel/third parties such as bankers, legal counsel and industry peers; · background searches. And do the considerations include