-date, as well as revise the ability to pay debt and total exposure of each client on a regular basis. The securities company must retain the related documentary evidence as prescribe in the first

กำหนดไว้ดังต่อไปนี้ ข้อ 1 ในประกาศนี้ “กองทุนรวมอีทีเอฟ (exchange traded fund)” หมายความว่า กองทุนรวมเปิดที่ โดยทั่วไปบริษัทจัดการกองทุนรวมจะขายและรับซื้อคืนหน่วยลงทุนกับผู้ลงทุนรายใหญ่ และจัดให้มี ตลาด

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy

regular review as to adequacy of measure and system for preventing and managing conflicts of interest as prescribed in sub clause (2). Additionally, in case there is an occurrence affecting the preventing

country, identify the name of such stock exchange and whether or not it is the main stock exchange. 5.5 Financial institution with regular contact (only in case of debt securities offeror) Part 2 Corporate

Supervisory Board hereby issues the following regulations: Clause 1 The Notification of the Capital Market Supervisory Board No. TorThor. 49/2552 Re: Short Selling of Securities relating to Exchange Traded

securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

(exchange traded fund)” หมายความว่า กองทุนรวมเปิดที่โดยทั่วไปบริษัทจัดการกองทุนรวมจะขายและรับซื้อคืนหน่วยลงทุนกับผู้ลงทุนรายใหญ่ และจัดให้มีตลาดรอง (organized market) สำหรับการซื้อขายหน่วยลงทุนของผู้ลงทุนใด ๆ