Microsoft Word - เอกสาร hearing เกณฑ์ foreign issuer_060809_.doc เอกสารรับฟงความคิดเห็น เร่ือง การปรับปรงุเกณฑการอนุญาตใหบริษัทตางประเทศ เขามาระดมทุนและจดทะเบียนในตลาดหลักทรัพย สํานักงาน สํา
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
Lifecycle Thailand × Know Your Client Process– Standard risk questionnaire × Focus primarily on risk preference (i.e., an investor’s aversion to risk) and ignore risk capacity (i.e., an investor’s ability to
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
Board No. TorNor. 49/2553 Re: Provisions Relating to Governance and Business Takeover of Foreign ETFs By virtue of Sections 16/6, 89/1, 89/12, 89/14, 89/29, 89/31, 246 and 247 of the Securities and
Capital Market Supervisory Board No. TorThor. 92/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Foreign Securities (No.2) ----------------------------- By virtue of Section 16/6 and
Commission No. KorNor. 24/2553 Re: Units of Foreign ETF deemed as Securities not Subject to Provisions on Public Offering of Securities By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 as
. 41/2555 Re: Rules, Conditions and Procedures for Trading of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth Investor By virtue of Section 16/6 and Section 113 of the