banned under the law on Supervision of Financial Institutions, either Thai or foreign law, provided that such prohibited characteristics are related to corruption, fraud / managing work in violation of law
related party transactions? How are the transactions transparent, equitable, reasonable and beneficial to the shareholders? Disclosed information Last period transactions: Names of related party and their
of the year that such solicitations occurred. * Please note that CIS Operator who is offering foreign ETF in Thailand will have to comply with the requirements of the Stock Exchange of Thailand
Thai baht; 3) Not having the characteristics of structured notes ( except there is a put option or the convertibility requirements); 4) In case of subordinated instruments that are convertible, the rates
Stock Exchange of Thailand. An FA is obligated to ensure that the companies disclose thorough, accurate and sufficient information for investors in making decisions. An FA is required to provide opinions
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
trustee account; ensure that the units are not allocated to investors who are not high net-worth, in case of offer for sale solely to high net-worth investors; oversee to prevent the trust from becoming a
highest responsibility in Accounting and Finance (“CFO") and the person assigned to the direct responsibility of supervising accounting preparation (“Chief Accountant") are required to have an education
certify financial statements of a foreign entity whose securities are publicly traded in the main board of a foreign stock exchange, and have experience relating to the
center are comparable to those for stock exchange. Derivatives Exchange is a market to facilitate the trading of derivatives. Any persons who wish to become a derivatives exchange must be a public company