relevant regulators in utterly cooperative way, and shall disclose to or inform the SEC Office anything relating to the intermediary of which that would be useful or necessary to supervise it or be an order
connection, the Securities and Futures Commission of Hong Kong (“SFC”) and the Office of the Securities and Exchange Commission of Thailand (“SEC”) have agreed to develop a cooperative framework for cross
Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed . (8) “ Stock Exchange ” means the Stock Exchange
, including their associates; (3) list of jurisdictions or countries that do not or insufficiently apply the FATF Recommendations, including non-cooperative countries & territories (NCCTs). The information in
แก่การก่อการร้าย รวมถึงเขตดินแดนหรือประเทศที่ไม่ให้ความร่วมมือในเรื่องดังกล่าว (non-cooperative countries & territories หรือ NCCTs) ทั้งนี้ ข้อมูลตาม (1) (2) และ (3) ต้องเป็นไปตามแนวทางที่กำหนดโดยหน่วย
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
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
brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock Exchange shall be at
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or
Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock