tick where applicable ): The index is recognized by a member of the World Federation of Exchange and the index constituents are eligible assets according to the Notification of the Capital Market
services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge
respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund
7 An intermediary may outsource operational function to a service provider in accordance with the following rules: (1) types of function and characteristics of eligible service provider shall be
5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following
licensed to undertake Type C securities business and a person licensed to undertake Type D securities business is eligible to undertake securities business relating to such share. For the purpose of the
Newly Issued Structured Debentures or other Instruments having Structured Debentures; (e) subordinated instruments eligible for inclusion as capital issued according to the Notification of the Capital
). Clause 2. The auditor who is approved by the Office of the Securities and Exchange Commission under the Notification governing approval for auditor , and is eligible to do auditing and put his or her
who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict
million baht from the date of the shareholding structure in which one or several existing shareholders hold combined shares less than twenty-five percent of the company’s shares eligible for voting rights