Approval and Granting of Approval Division 1 Application for Approval Clause 15 The submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such
______________________ Division 1 Approval Rules ______________________ Clause 16 The applicant for an offer for sale of bonds shall have the following qualifications: (1) the financial statements and the consolidated
market business shall be persons who do not possess the prohibited characteristics as specified in Chapter 7. Chapter 4 Application for Approval and Granting of Approval Division 1 Application for Approval
shall be persons who do not possess the prohibited characteristics as specified in Chapter 7. Chapter 4 Application for Approval and Granting of Approval Division 1 Application for Approval Clause 15 The
Kiatnakin Phatra Asset Management Company Limited Kiatnakin Phatra Asset Management Company Limited ("KKPAM") as a mutual fund management company, completed the negotiations with the Sub
and derivatives before the execution of Mr. Komen’s order for the mutual fund was completed. This case is in the process of inquiry by the inquiry official. SEC Act S.244/2 in conjunction with 244/1
______________________ Clause 1112 An offeror shall submit a registration statement to the SEC Office, containing completed and updated particulars with at least the following information. In this regard, the details of
Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities
October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving