intermediary shall be conformed to Chapter 1; (2) the outsourcing of operational function to service providers shall be conformed to Chapter 2; (3) the outsourcing of operational function other than sub clause
conformed to Chapter 1; 5 Amended by the Notification of the Capital Market Supervisory Board No. TorThor. 47/2560 Re: Outsourcing Operational Function relating to Business Operation to Third Party (No.6
______________________ Chapter 1 Scope and General Rules ______________________ Clause 4 This Notification shall apply to the application and approval for an offer for sale of debt securities of a company with the
applicant shall submit an application accordingly to Chapter 2 of Part 1 and comply with Part 2; (2) in relation to the submission of the registration statement, the applicant shall submit the said document
Securities and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. Chapter 1 Application for Approval ______________________ Clause 3. Persons who obtain approval
and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. (Translation) 3 Chapter 1 Application for Approval ______________________ Clause 3. Persons who
shall be subject to the rules under Chapter 1; (2) 2 [REPEALED]; (3) performing duties as a trustee shall be subject to the rules under Chapter 3. Clause 4 The SEC Office may announce a detailed guideline
Funds and Trusts ________________ Chapter 1 Rules on Preparation of Financial Statements and Supplementary Documents ________________ Clause 11 The quarterly and annual financial statements of mutual
” means administrative panel under law on derivatives or law on trust for transaction in the capital market; (6) “Secretary-General” means Secretary-General of the SEC office. 2 Chapter 1 General Provisions