make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23

plans and distribution of digital tokens, examine and ensure source code that matches the disclosed information, and identify investors’ identity, status and risk-taking ability.Once ICO portals are

public to be cautious when being asked to trade digital assets. The public should examine whether the operator is on the list of SEC’s digital asset business applicants. SEC reiterates that SEC has not

. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to

mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit

audit on the internal control system concerning the B/E issuance, related receipt and payment transactions, and the company's accounting records practice. In addition, KC must examine the issue raised by

advisors, and derivatives business operators are required to report suspicious transactions as specified by the law to the AMLO; which has the power to examine the report and information relating to

examine the operation of such branch office. (Unofficial Translation) 2 In case where no person is responsible for the operation of branch office under the first paragraph or such person is unable to

stock) ตราสารแสดง สทิธกิารฝากหลักทรัพยต์า่งประเทศ (depository receipts) ของบรษัิททีด่ าเนนิธุรกจิเกีย่วกับโครงการสาธารณูปโภค พืน้ฐาน (Infrastructure Companies) ซึง่จดทะเบยีนหรือมกีารซือ้ขายอยู่ในตลาดหลัก

) ตราสารที่ กองทนุสามารถลงทนุไดด้ังกลา่ว เชน่ หุน้สามัญและหุน้บรุมิสทิธิ ์(common and preferred stock) ตราสารแสดง สทิธกิารฝากหลักทรัพยต์า่งประเทศ (depository receipts) ของบรษัิททีด่ าเนนิธุรกจิเกีย่วกับ