which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
financial ratios. In the case of the Company in an industry with specific ratios such as an average occupancy ratio (in case of hotel business), such ratios must be presented additionally. Information Quarter
to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall
subsidiaries is disclosed accurately and completely, and has supervised compliance with such disclosure system; (3) The Company has provided an efficient internal control system, supervised compliance with the
submitted to the SEC Office. Clause 4 The intermediary shall maintain the captial in the amount not less than the maximum rate of the following amounts: (1) one hundred thousand baht; (2) average quarterly
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
, the debt instruments must be traded every two weeks on average and having the average turnover rate of the most recent three months not lower than 6.25 percent of the outstanding. (4) foreign debt
applicable) ผู้ซื้อ/ ผู้รับโอน โปรดระบุชื่อ/ความสัมพันธ์ 5 Purchaser/ Transferee (Specify name and relationship) จำนวน (Amount) ราคาเฉลี่ย (Average price) ผู้จัดทำ / Reporter หุ้นสามัญ (common share) หุ้น
delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of
services of ...................., as detailed as follows: Position * Responsibilities ** No. of Persons Experience in Auditing (year) *** Average Experience **** Employee Turnover (%) ***** Partner Senior