information shall cover at least the following matters: 1.1 Vision, objectives, goals and strategies Provide as much information as deemed appropriate on the vision, objectives, goals and business strategies of
financial advisors or intermediaries for securities offering, additionally disclose the terms and conditions of such debts as well. - in other cases, disclose at least the amount of money and the spending
advisors or intermediaries for the offer for sale of securities: disclose additional information on the terms and conditions of such debt; · Other cases: disclose at least the amount of money and the
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
is less than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund
Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or