rig h ts re se rv e d . D ig ita l In fra stru c tu re fo r C a p ita l M a rk e t R e v is e d B u s in e s s P ro c e s s : B o n d F ilin g & P rim a ry M a rk e t (d a ta a s o f 2 2 n d S e p te m
firm” means a securities company having obtained securities brokerage license [under the Securities and Exchange Act B.E. 2535 (1992)]. 3 Chapter 2 Offering for Sale Regarding Units of Foreign Collective
arising from increasing ASEAN financial and economic integration • Increases the Bank exposure towards high growth markets • Enhances cross-border capabilities for Thai corporates in their increasing
company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to requesting for approval from senior
financial institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and
the 2019 collective financial statement for the year ended December 31st, 2019, the Company earns 40.92 Million Baht of income comprising the income obtained from concert organization of 38.84 Million
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the Memorandum of Understanding on Streamlined Authorisation Framework for Cross-border Public
supervisor for any reason whatsoever only after approval of the SEC Office has been obtained. 3 The notification of the Capital Market Supervisory Board regarding commitments between unitholders and mutual