ภาคผนวก 1 ภาคผนวก 1 กลุ่มประเทศ Organization for Economic Co-operation and Development (OECD) และประเทศที่มีฐานะการเงินเทียบเท่า ออสเตรเลีย เกาหลีใต้ ออสเตรีย ลักเซมเบิร์ก เบลเยียม เม็กซิโก แคนาดา
ภาคผนวก 1 ภาคผนวก 1 กลุ่มประเทศ Organization for Economic Co-operation and Development (OECD) และประเทศที่มีฐานะการเงินเทียบเท่า ออสเตรเลีย เกาหลีใต้ ออสเตรีย ลักเซมเบิร์ก เบลเยียม เม็กซิโก แคนาดา
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
respective rights thereof as well. In the event that the Company or a subsidiary undertakes a property development business, clarify the characteristics of each ongoing significant project such as the project
knowledgeable and competent persons. 9. Supporting staff in developing knowledge, skills and abilities required to perform the assigned tasks including the evaluation of such knowledge and skills. The development
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100
Financial Institution Development Fund; (7) a juristic person having total assets of five hundred million Baht or more, according to the latest financial statement audited by an auditor; (8) a juristic person
procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating securities to each