establishment and management of a mutual fund specified in the Notifications of the Securities and Exchange Commission, the Notifications of the Capital Market Supervisory Board and the Notifications of the
the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any aspects which would affect the
Office; and (4) Refrain from violating the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any
trust for transactions in the capital market. Clause 4 This Notification shall not apply in cases where there are other notifications of the SEC Office regarding approval of auditors for any specific
4. A notifications of allegation, appointment, imposition of administrative sanction, consideration on appeal or any other matters shall be made in writing. Clause 5. In cases of urgency or where a
assets transaction according to the Notification of the Capital Market Supervisory Board No. TorChor. 20/2551 (2008) Re: Rule on Entering into Material Transactions Deemed as Acquisition or Disposal of
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. Tor Jor. 9/2552 Re: Application and Approval for Offer for Sale of Newly Issued Debt Securities dated 13
obtained during the course of business operation as a securities clearing house that is material when doing a transaction with its members. Information disclosed under Paragraph 1 shall be timely, and