3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit

exchange laws, applicable rules and regulations and ethics and professional standards within the past two years prior to the application date. In this regard, such attendance shall continue from the previous

investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the

on internal control and risk management related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to have in place a

. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2) in case the

managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers which shall be submitted prior to the appointment

) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the

Sales results of the foreign CIS units that have been offered in Thailand : Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription

Sales results of the foreign CIS units that have been offered in Thailand: Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription

Office prior to the upgrade with the format set out in an electronic system of the Office. Chapter 2 Branch Office in Foreign Countries --------------------------- Clause 11. The derivatives broker wishing