).............................................. ............................ ............... ………………… (For further details, please attach herewith) 6. Address No........................... Building / Residence: ........................... Alley: ......................... Road
: (a) having a net asset value of seventy million baht or more, excluding the value of the property used as a permanent residence of such person; (b) having annual income of ten million baht or more, or
) short sale of securities which are equity instruments listed on the Stock Exchange or registered with at the securities trading center in compliance with the rules prescribed by Notification of the Stock
trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
structured CPD for registered auditors? 5 Is there a training policy for other audit issues of Listed Companies? 6 Are these CPD targets communicated to each individual? If yes, how? 7 Are these targets
clearing house or the SEC Office in cases where it appears the following facts: (a) listed securities trading by the client has or may have an impact on the orderly trading of listed securities , or has
of brokerage services on listed securities, shall come into force as from 1 January 2016; (3)3 Repealed. (4)3 Repealed. Chapter 1 General Provisions ___________________ Clause 2 In this Notification
, in consideration of a fee or other remuneration, excluding the management of investment as specified in the notification of the SEC. "listed securities" means registered or authorized securities for
in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining