Securities and Exchange Commission concerning the prohibited characteristics of personnel in securities business. Chapter 4 Transitional Provisions Clause 12. A person approved to be a fund manager prior to
of the Securities and Exchange Commission concerning the prohibited characteristics of personnel in securities business. Chapter 4 Transitional Provisions Clause 12. A person approved to be a fund
to investor contact from a regulatory organization of the countries accepted by the Office, in case the investor contact has obtained approval through such qualifications. Chapter 5 Transitional
through such qualifications. Chapter 5 Transitional Provisions ______________________ Clause 17. The person having been granted approval to be Category A investor contact based on the qualification of being
appointment of representatives for a specified period or conditions, or revoke the approval thereof. Chapter 4 Transitional Provisions and Effective Date of Notification ___________________ Clause 18 Any
specified period or conditions, or revoke the approval thereof. Chapter 4 Transitional Provisions and Effective Date of Notification ___________________ Clause 18 Any Notification of the SEC Office, orders
แบบอิเล็กทรอนิกส์เพียงรูปแบบเดียว อย่ำงไรก็ดี เพื่อให้ ผู้มีหน้ำที่รำยงำนมีระยะเวลำในกำรท ำควำมเข้ำใจมำกยิ่งขึ้นส ำหรับกำรส่งรำยงำนในรูปแบบ อิเล็กทรอนิกส์ ส ำนักงำนจึงก ำหนดระยะเวลำ (transitional period
the SEC Office prior to the date on which the SEC Office imposes such suspension or revocation of approval. Chapter 4 Transitional Provisions _____________________ Clause 28 Any person obtaining
Transitional Provisions _____________ Clause 34 All notifications of the Office of the Securities and Exchange Commission, orders, and circulations which were issued by virtue of or set out guidelines in