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
where the private fund management company is a limited company or public limited company under clause 2 (6) of Ministerial regulations No. 15 (B.E. 2543) in accordance with the provision of the Securities
licensed CPAs or of assistant auditors in such audit firm, do not hold shares of the company or its subsidiaries for which the applicant is the auditor; 3. I or a person with equivalent authority in the
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial
provisions of this Notification before the initial public offering of the investment units. Should the management company fail to effect such amendment before the offering of the investment units, the Office
company under the law governing securities and exchange; (7) “company” means a limited company or a public limited company; (8) “conglomerate” means a group of legal entities having relationship in respect
cumulative voting whereby the investors allocate their votes to different nominees pursuant to the law on public company limited, or the majority voting method is used whereby a nominee must obtain more than
Section 81 Securities and Exchange Act B.E. 2535 Section 81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report