law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
include a financial institution under other law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that
category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
, securities underwriting, but shall not include a financial institution under other law and later obtain a license to undertake securities business; “Full-service Branch Office” means a securities company’s
the equity crowdfunding scheme and would confine individual exposure to ICOs, there are counter-arguments that this would overly restrict retail investors’ freedom to invest and the same could be said
purpose for the directors or employees to eventually obtain benefits from the securities offered for sale: (1) listed companies; (2) public limited companies incorporated under the law of Thailand who have
an application to the SEC Office together with evidentiary documentation as specified by the Notification of the SEC Office. In this regard, the applicant would obtain an approval from the SEC Office
Controls (OS, Database, Network) Application (e.g. SAP) Configuration & Security In ve nt or y Identify ITGC Risks 14 PCAOB Literature The auditor should obtain an understanding of specific risks to a
well as the individual face value of each type of debt securities offered or listed. 3. Provide information about the form of the security, such as whether investors can obtain physical certificates or
of entering into the Sale and Purchase Agreement until 31 August 2025. 8.3 Before or on Completion Date, RPV and its subsidiaries shall obtain consents or any relevant waivers from Kasikorn Bank Public