established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
ให้ นำบทบัญญัติในหมวด 3 ว่าด้วยการเสนอขายหลักทรัพย์ต่อประชาชนมาใช้บังคับ (1) มีการซื้อขายในตลาดหลักทรัพย์หลักที่เป็นสมาชิกของ World Federation of Exchanges (WFE) และ (2) เป็นหน่วยของอีทีเอฟต่างประเทศที่
maintain such status when the renewal application is filed. 2. The Contacts approved on a basis of being an approved or registered investor contact with a regulatory organization on capital market of a
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Insurance Company/ Finance Institution Established Under Specific Law Particulars For the SEC Officer □ 1. Supporting documents for consideration under Clause 4 (1) : □ (1) Certificate from the organization
sources and has a lower impact on the environment than fossil energy; (6/1)1 “ state ” means: (a) government administration; (b) government organization under the Law on Establishment of Government
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any
with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP