per share. In case of having other securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
) define the right of the intermediary to inspect the operation of the outsourcee to ensure compliance with the agreed term. With the exception where the outsourcee has a restriction to do so, the
. An exception is for the mutual fund that offers all investment units to non-Thai residents (country fund). In this case, the management company shall prepare the financial statements in conformity to
, Derivative broker shall not appoint any other person to provide the service exception where the service provided from customer contact person for Derivative broker and outsourcing services according to the SEC
investment or represent that there shall no loss on investment at any fixed rate, with the exception of a representation given in accordance with the criteria prescribed and notified by the SEC Office; (5) in
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock Exchange shall be at
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or