from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the
REITs will also be exempted for the REITs so converted. This is because a number of asset management companies currently manage a lot of Type 1 property funds investing in the same asset type, applying
for the Type D license under the specified requirements; for example, their businesses must be relevant, supportive or beneficial to the applying securities business without any conflicts of interest
business operators,? said SEC Secretary-General Vorapol Socatiyanurak. --------------------------Note:*Credit rating from BBB- upward. ** Applying to banks established under specific laws whose appraisal
) dealing in securities as specified in (3); (3) underwriting of securities as specified in (3). “applicant” means person applying for securities business license under this Ministerial Regulation
KorKhor 10/2551 Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities
variables as prescribed by the Office; (4) “ applicant ” means a person applying for derivatives business license under this Notification; (5) “ commercial bank ” means any commercial bank in accordance with
prescribed by the Office; (4) “applicant” means a person applying for derivatives business license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial