other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
proposed to its client or investor who is interested in the products, at least according to Clause 42. In this regard, such information shall not be distorted and misled; (4) distribute prospectus or
assessing suitability as prescribed in Clause 33 and Clause 34; (3) disclose sufficient information relating to capital market products proposed to its client or investor who is interested in the products, at
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
persons. Companies should arrange a call tree and a name list of customers, the main service providers and other relevant persons, including contact information, such as an office phone number, home phone
: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Main/Home Exchange: _____________________________________________________ 5) Legal Structure of Foreign ETF
บริษัทที่มีหุ้นเป็นหลักทรัพย์ ซื้อขายในกระดานหลัก (main board) ของตลาดหลักทรัพย์ต่างประเทศได้โดยชอบด้วยกฎหมายหรือกฎเกณฑ์ของต่างประเทศ และมีประสบการณ์การสอบบัญชีของบริษัทดังกล่าว (2) อยู่ภายใต้การกำกับดูแล
securities; (5) “Investor” means any person who is interested in investing in securities and shall also means any client of securities companies in securities businesses; (6) “Securities company” means any
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
). Cash flows statement The items in the cash flow statement of the company shall be use the prescribed definition, as follow: Cash flow from operating activities means money arising from the main