service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
capital and paid-up capital (1) The Company has a registered capital of baht, of which ____________ baht is paid up, divided into ordinary shares and _________ preferred shares (if any), at ___________ baht
license or securities business licenses in the following categories and is regarded as a Non-Publicly Accountable Entities, according to the Federation of Accounting Professions’ financial reporting
foreign laws and offered the units publicly to the investors; (8) the foreign investors having the same characteristics as the following investors: (a) the institutional investors in (1) but not including
Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours. Clause 7. The securities company shall publicly announce its opening hours and
involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach
and Exchange Commission, Thailand Re: Application to offer ASEAN CIS publicly in Thailand I/We _________________________________________________ as an operator of
..) 3. Income (Loss) before income tax 4. Income tax expenses 5. Income (Loss) after income tax 6. Net profit (Loss) of minority interest 7. Profit (Loss) from ordinary activities 8. Extraordinary Items 9
has authorized the management of investment to acquire benefit from securities, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business
, Thailand Re: Application to offer ARFP Passport Fund publicly in Thailand I/We _________________________________________________ as an operator of _____________________________________________ hereby notify