approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
firm confirms the independence of such other firms 15 Any audit partners where they are employed exclusively or principally for an audit engagement? 16 Did the firm adequately address other possible
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
by the Office under the first paragraph, the approval under Clause 2/1 shall be deemed terminated. Clause 12. Repealed . Clause 13. In the case where an investment advisory agent is employed by more
. In the case that the cloud computing was employed to carry out critical activities , the intermediary shall ensure that at least the following matters is in place: 3.1 establish the policy on the use
refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company
company, clarify why such practice is employed instead of direct shareholding by the Company; (3) In case of several connected transactions, each with little value, grouping such transactions as seen
fund committee to notify the termination of membership should have the following particulars: (a.1) name and code of member (a.2) date of being employed with the current employer/date of becoming a
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
into categories, such as for the purpose of dividend level maintenance, for business expanding or under encumbrance condition. 26.2 Unappropriated means retained earnings and net income of accounting