information owner give other user the right to reach or modify his information such as share file etc., it shall give the right for specific person or specific group only and cancel such right when there is no
names of the executive(s) responsible for the audit quality control in the previous accounting period, together with their opinion on the effectiveness of the audit quality control, the independence in
Exchange Commission. The effectiveness of this registration statement neither represents that the Securities and Exchange Commission, the Capital Market Supervisory Board or the Office of Securities and
representative, or CIS operator. The copy of this registration statement has been registered with the Office of Securities and Exchange Commission. The effectiveness of this registration statement neither
representative, or CIS operator. The copy of this registration statement has been registered with the Office of Securities and Exchange Commission. The effectiveness of this registration statement neither
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
securities, as well as the suitability for investment and the relevant risk exposure. The effectiveness of the Registration Statement neither represents that the Securities and Exchange Commission, the Capital
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to