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the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
(Translation) (Translation) PAGE (Translation) 3 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (UNOFFICIAL TRANSLATION) PAGE (Translation) - 2 - Readers should be
: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages