", "institutional investors", "executives", "controlling person", "short- term bonds" and "structured notes" shall have the meaning given to them under the Notification of the Securities and Exchange Commission on
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
Exchange Commission No. Sor Nor. 88/2558 Re: Prospectus for Offering of Investment Units of Retail Mutual Funds, Mutual Funds for Accredited Investors and Mutual Funds for Institutional Investors
objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of
2 new investors on the share capital increase in a proportion of 49 percent on Pace Project One Co., Ltd and 48.7 percent on Pace Project Three Co., Ltd. The Company remeasured the remaining
2 new investors in Pace Project One Co., Ltd. and Pace Project Three Co., Ltd., the Company engaged independent financial advisory firm to measure the fair values of investments in these 2
(2) as the case may be. For the purpose of Paragraph 1, the term “senior management” means manager, assistant manager, or a person whose position is in the same level as the aforesaid position but is
duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the
performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office