knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the
imprisonment or discharged of the probation for less than 3 years. In this regard, the aforementioned action has been proceeded only for the offences under the Securities and Exchange Act. 2535 (1992) , the
product or historical market activity and [ii] forecasting future performance of securities and derivatives prices or market activity from graphs, technical analysis concept and scenario test. Clause 3 The
Company is advised to consider the guidelines, manual or disclosure checklist in Form 69-1 available on the website of the SEC Office. In this regard, the Company may also use the guidelines, manual or
and understand the structure, roles, duties and responsibilities of each unit in the organisation. In this regard, units should be arranged in accordance with such organisational chart. 2. There should
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
_____________________________________________ hereby notify the Securities and Exchange Commission, Thailand of our intention to offer the ASEAN CIS to the public in Thailand. In this regard, I/we have completed the application form and
หรือวิธีการควบคุมที่เหมาะสมและมีประสิทธิผลในการจัดการความเสี่ยงนั้น - กิจกรรมการควบคุม (Control Activity) : การปฏิบัติตามนโยบายและขั้นตอนการปฏิบัติงานเกี่ยวกับการควบคุมภายใน รวมทั้งกิจกรรมการควบคุมที่
Exchange Commission, Thailand of our intention to offer the foreign ETF in Thailand. In this regard, I/we have completed the application form and enclosed all relevant documents in support of this