names of the executive(s) responsible for the audit quality control in the previous accounting period, together with their opinion on the effectiveness of the audit quality control, the independence in
services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 9 Notification of the Capital Market
securities for sale to a Thai trust fund or has issued non-voting depositary receipts (NVDR) with the Company’s shares as the underlying securities, specify the amount of shares and clarify the impact on the
various types with a central company in charge of managing subsidiaries or associated companies in each business group, identify the names and positions of the executives thereof, including the central
policy or implementation not yet taken, it should be proposed that the board of directors pass a resolution acknowledging their duty to supervise the Company's compliance with the governing laws, including
names, please also indicate their former names): 1) ………………………………. year of birth B.E. ……………... 2) ………………………………. year of birth B.E. ……………... 3) ………………………………. year of birth B.E. ……………... 2.8 Address appeared
appointment of a person, who has registered as bond trader with the Thai Bond Market Association, to be investment consultant for providing consultation on debt securities for institutional investors on behalf
brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the appointment of a person, who has registered as bond trader with the Thai Bond
have committed predicate offences or money laundering offences under the Thai or foreign laws, including their associates; (2) list of name of politically exposed persons (PEPs), either Thai or foreign