…………................................................................. …………………………….......................................................................... telephone number…………………….. facsimile number ………………………… 2. Details for supplementing the consideration: 2.1 A license granted by the authorized organization or agency under the law (only in the case of a CB
: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Main/Home Exchange: _____________________________________________________ 5) Legal Structure of Foreign ETF
years preceding the year of application filing until the date of application filing. □ 3. Supporting documents for consideration under Clause 4 (3) : □ (1) Organization structure of the applicant
: ________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal form of NRI CIS: Legal entity Unit trust Any other structure acceptable to participating jurisdictions 5) Type
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
. The financial statements under the first paragraph shall be prepared under the criteria as specified in the notification of the SEC and shall be audited with an opinion rendered thereon by a certified
Exchange Commission: As I, …….….(name)………………, a certified public accountant No….…..., have been approved by the SEC Office to be an auditor of the business specified in Clause 3 of the Notification of the
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
หลักทรัพย์ หรือสัญญาซื้อขายล่วงหน้า หรือตราสารทางการเงินประเภทต่าง ๆ หรือธุรกรรมที่เกี่ยวข้อง เช่น การยืมและการให้ยืมหลักทรัพย์ Exchange Traded Fund (ETF) กองทุนรวมอสังหาริมทรัพย์ Structure Notes และ