”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
record and firm’s profile in the form as publicized in the SEC’s website. Signature of the applicant is required. (3) Certification of auditor’s professional qualification in the form as publicized in the
Company is advised to consider the guidelines, manual or disclosure checklist in Form 69-1 available on the website of the SEC Office. In this regard, the Company may also use the guidelines, manual or
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
website ของสำนักงาน ที่ www.sec.or.th ภายใต้หัวข้อบริการออนไลน์ แบบรายงาน งบการเงิน (บ.ล. 1 บ.ล. 1.1) ทั้งนี้ สำนักงานขอความร่วมมือให้บริษัทหลักทรัพย์ยังคงส่งรายงานดังกล่าว ในรูปแบบเอกสารด้วยเฉพาะงวดครึ่งปี
with this, such report shall be according to the rules and procedures as specified on the SEC Office’s website; In case of offering for sale of bonds under the Notification of the Capital Market
Thai AMC is required to perform on-going monitoring and oversee that the mutual fund maintains the qualifications of an MRF-eligible master fund in accordance with the requirements under HK-TH MRF MoU
the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1