which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
per share. In case of having securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ from
ordinary shares and _________ preferred shares (if any), at ___________ baht per share. In case of having securities listed elsewhere, identify that Stock Exchange. 1.4.2 In case of having other types of
........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on
to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall
delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of
hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2