relevant guidelines, laws, and regulations. In case of any change to this Personal Data Protection Policy, the SEC Office will notify you by updating its website as soon as possible. This Personal Data
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
the assets in the client’s account is the rightful owner or the person, with written authorization, entrusted by the rightful owner. Clause 19. A securities company shall examine the status of the
company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities trading for the client
19. A securities company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities
investing. Investing in the Fund involves risk. Principal loss is possible. Renewable and sustainable infrastructure companies may be subject to a variety of factors that may adversely affect their business
should be rigorous, capable of being applied consistently, and, where possible, result in credit ratings that can be subjected to some form of objective validation based on historical experience. 1.2
the values of the ongoing projects as of the most recent date possible. Any project worth 10 percent or more of the total income in the consolidated financial statements of the latest financial year
. Provide information about the existence or possible creation of other securities and other indebtedness with seniority to the debt securities. If the rights of the debt securities holders will be
senior, as having priority, or otherwise limiting the rights of the debt securities holders to any payment on the debt securities. 2. Provide information about the existence or possible creation of other