involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach
(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...
. “ advertisement ” means an action which makes publicly known about information of [i] intermediary ’s businesses or services, [ii] capital market products or [iii] selling capital market products by using
, Thailand Re: Application to offer ARFP Passport Fund publicly in Thailand I/We _________________________________________________ as an operator of _____________________________________________ hereby notify
market products ” means any securities and derivatives. “ advertisement ” means an action which makes publicly known about information of [i] intermediary ’s businesses or services, [ii] capital market
: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer Hong Kong Covered Fund publicly in Thailand I/We _________________________________________________ as an operator of
person who, in the ordinary course of business, holds himself out to the general public as being ready to engage as a counter party in a derivatives contract with any person who intends to trade in
transparent disclosure of information related to execution of trading transactions which includes sufficient, fast and appropriate disclosure of pre-trade information (if any) and post-trade information; (d
เพิ่มเติมเกี่ยวกับ (1) ประเภทบุคคลที่สำนักงาน ประกาศเพิ่มเติมให้เป็นบุคคลที่เกี่ยวข้อง (2) การทำธุรกรรม cross trade ที่เหมาะสม (3) การรับผลประโยชน์ตอบแทนเนื่องจากการใช้บริการบุคคลอื่น (soft commission) (4
the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in such a way as to