case that the Company does not received such deposit within the period specified by the Board of Directors, the Company may arrange the Board of Directors’ Meeting to annul the approval for the capital
the case where the units of the foreign ETF are listed on more than one exchange, the term shall mean the exchange specified by the foreign ETF as the home exchange; “CIS operator” means a person who is
for the benefit of compliance with the rules under this Notification. In case of having complied with such guideline, it shall be deemed that the trustee has already complied with this Notification
company" means a securities companies licensed to undertake securities business in the category of mutual fund management; “unit” means an investment unit of mutual fund or trust unit of trust, as the case
mobilizer as prescribed under Clause 1 (2) (3) and (4), as the case may be, only in the case where a foreign business issues a private placement of debt instrument or sukuk. Clause 23 A foreign auditor who
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
financial statements of NMG. The evidence in this case has revealed that the NMG’s financial statements for the year 2015 to 2017 showed manipulated income and unrealized advertising income, which were in
March 2019. Therefore, SEC will not accept her future application for approval as personnel in the capital market for 15 months in the same manner as for the case of her approval as investment
in advance that UOB Asset Management (Thailand) Co., Ltd. would sell the assets of UOB8TF to C S M Capital Partners Co., Ltd. The sale would cause UOB8TF to be dissolved and the money to be averaged