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
the matter of transparency, inspection, check and balance and efficiency of the corporate governance. In this regard, the Company shall describe the following matters: 7.2.1 The composition of the Board
(if any), as specified by the SEC Office’s Notification, which the intermediary shall fulfill before entering into the transaction for the purpose of transparency or fairness to the client . Clause 23
subsidiaries is disclosed accurately and completely, and has supervised compliance with such disclosure system; (3) The Company has provided an efficient internal control system, supervised compliance with the
-trade information) อย่างเพียงพอ รวดเร็ว และเหมาะสม (transparency) (4) ระบบบันทึกข้อมูลเกี่ยวกับการซื้อขายสินทรัพย์ดิจิทัล โดยเฉพาะข้อมูลที่เกี่ยวกับการทำรายการซื้อขายสินทรัพย์ดิจิทัล เพื่อติดตามและตรวจสอบ
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
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
specified by the SEC Office’s Notification, which the intermediary shall fulfill before entering into the transaction for the purpose of transparency or fairness to the client . Clause 23 When an intermediary
is transparency and due process, prior to notifying suspension or revocation order or period for removing a person from the position as a result of possessing prohibited characteristics in Group 3