referential exchange rate and the currency used in the financial statements. Remarks : (1) In the case where the securities issuing company has changed its shareholding structure or the operational framework or

. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10

three years, if any. 1.3 Shareholding structure In the case where the Company consists of subsidiaries or associates, the following information is required: - Policy on operational organization within the

years preceding the year of application filing until the date of application filing. □ 3. Supporting documents for consideration under Clause 4 (3) : □ (1) Organization structure of the applicant

supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted by such laws to undertake securities

ทะเบียน จากหน่วยงานกำกับดูแลหลักให้จัดตั้งโครงการดังกล่าว “ประเทศกลุ่มอาเซียน” หมายความว่า ประเทศกลุ่มอาเซียนที่เป็นสมาชิกของ International Organization of Securities Commissions (IOSCO) โดยเป็นพหุภาคี

: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Main/Home Exchange: _____________________________________________________ 5) Legal Structure of Foreign ETF

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

licensed to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); (5) “ investor

the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls