daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
derivatives contracts; “Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates
this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the
application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand
”). 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
the date on which it has received the required information in full. The accepted courses will be published in the website of the Office. If the organizer fails to file the information in advance or
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
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