Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms
Capital Clause 4 The liquid assets which may be used for maintenance of the capital are the following assets which are free of encumbrance and are not short-term investments with the intention of resale or
of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
Exchange Commission and shall not be used for other means. Signed ( ) CPA License No: Date: Form 61 - 4
securities offeror who is obliged to file a registration statement and draft prospectus with the Office. Clause 3 A securities underwriter shall not make underwriting of the following securities, except being
to demonstrate to the SEC Office that such person has access to and is capable of examining information necessary to make investment decision in securities being offered and that it is not necessary to
, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering characteristics, scopes, and
indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only for non-Thai national who does not have an identification card or does not know identification number) Card Number : Expiry
is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the