” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 9/2554 Re: Short Selling of ETF
the year under review but decide to continue? If yes, explain. C External Pressures: 1 How is the firm’s practice influenced partner and audit staff’s behavior regarding selling of non-audit services? 2
adequacy of firm’s procedures? 2 For firms without designated Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and
entities; 3. I am not an officer or employee of my audit clients or its related entities; 4. I have characteristics and qualifications that meet all criteria in the Notification of the SEC Office regarding
employee of my audit clients and or its related entities. 4. I have qualifications that meet all criteria in the Notification of the Office of the Securities and Exchange Commission No. 30/2558 Re: Approval
(“selling agent”) สามารถกำหนดข้อตกลงร่วมกันในเรื่อง cut off time โดยระบุ ความรับผิดชอบระหว่างกันไว้ เช่น บลจ. และ selling agent สามารถใช้ cut off time เดียวกัน หากมีข้อตกลงร่วมกันที่จะให้คำสั่งซื้อจากผู้ลงทุน
translation is strictly for reference. 5 Notification of the Office of the Securities and Exchange Commission No. SorJor. 21/2541 Re: Reporting the Results of Selling Securities to the Public
consultation or opinion to the committee under sub clause (6); (8) person who executes buying and selling orders for a fund . Clause 9 Personnel in the capital market business performing functions under Clause 4
) person holding a position called by any name who provides consultation or opinion to the committee under sub clause (6); (8) person who executes buying and selling orders for a fund . Clause 9 Personnel in