Microsoft Word - เอกสาร hearing เกณฑ์ foreign issuer_060809_.doc เอกสารรับฟงความคิดเห็น เร่ือง การปรับปรงุเกณฑการอนุญาตใหบริษัทตางประเทศ เขามาระดมทุนและจดทะเบียนในตลาดหลักทรัพย สํานักงาน สํา
on Standard Conduct of Business, an intermediary shall operate a system for communicating with and providing services to clients pursuant to the details in this Chapter. Clause 5/2 The provisions in
on Standard Conduct of Business, an intermediary shall operate a system for communicating with and providing services to clients pursuant to the details in this Chapter. Clause 5/2 The provisions in
company; (4) “client” means a counterparty who is not a securities company, the Bank of Thailand, or a person licensed to undertake securities business in the category of securities dealing under foreign
THB 8.9 MB, which mostly decreased from foreign exchange gains. Resulting in the increase of most administrative expenses from loss on exchange rates. However, the company could maintain the level of
of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of
SEC to acknowlege as well. 5 Division 7 Cross-border communication In case where a intermediary has a transaction or a service usage from a foreign service provider, a intermediary should have an
SEC Thailand’s Public Hearing on Drafted Regulations for Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (Codified) The SEC Thailand
Page 1 of 7 Form 35 – foreign ETF Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy
Sales results of the foreign CIS units that have been offered in Thailand : Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription