funds; (b) fund manager who performs duty of making investment decision or divesting of other assets other than infrastructure asset; (2) approval and performance of duty of personnel appointed under (1

suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns investment consultants not to submit trading orders on the client?s behalf even the client

compliance with the company's rules*. The SEC, therefore, sanctioned the said four persons by suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns

with them. Some even gave authorization for the companies? staff to submit trading orders on their behalf.The said actions were deemed as undertaking derivatives business without license in contravention

member jurisdiction to offer CIS constituted and authorised in that jurisdiction ("ASEAN CIS") to retail investors in other member jurisdictions under a streamlined authorization process. The signatories

any loss or damages arising out of or in connection with its use. Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (as amended) By the virtue of

in the form of program” means newly issued short-term sukuk that has obtained an approval from the SEC Office for multiple offers for sale without the obligation to repeat the application for approval

Supervisory Board No. Tor Jor. 17/2561 Re: Application and Approval for Offer for Sale of Newly Issued Debt Securities _______________________ By virtue of Section 16/6 and Section 89/27 of the Securities and

/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange

/2547 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange