into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of
assets to be invested by BTSGIF while the SEC has to notify its consideration on the application for establishment of the fund within 45 days from the date of receiving the application together with
MergedFile Page 1 of 8 Form 35 – NRI CIS Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator
. Notification of the Capital Market Supervisory Board Tor Jor. 12/2559 Re: Application and Approval for Offer for Sale of Structured Notes ____________________ By virtue of Section 16/6 of the Securities and
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
Exchange Act 2535 92 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board TorThor 31/2556 Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices