for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
the certificate of registration of juristic person / establishment of a body of persons; 1.2 a copy of the financial statements or the profit and loss statements, in case of a body of persons, for the
the profit and loss statement for the three most recent years in the case where the audit firm is established in the form of a group of persons; (8) Certification and consent letter of the audit firm
account of a customer; (b) profit or any other benefit resulted from derivatives transaction for the account of a customer; (c) warehouse receipt, bill of lading, or any other instruments which represent
of purchaser, representing the right of the holder of such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus
not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give