applicant shall arrange a financial advisor, whose name appears in the SEC Office’s approved list, to jointly prepare an information in a notice calling for shareholder’s meeting in conforming to Clause 12
) The confidence interval; (b) The holding period of the mutual fund’s assets. In case of relative VaR approach, the benchmark employed and the suitability thereof shall be indicated. (2) The expected
procedures in place that are designed to ensure that individuals with demonstrably compromised integrity are not employed. 1.20 A CRA and its employees should not, either implicitly or explicitly, give any
from shareholders, the Company is required to appoint Finnex Advisory Company Limited as the Financial Advisor (“IFA”) who is approved by SEC and express an opinion on the transaction. Resolution of the
agricultural goods, which applies to the undertaking of business as: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager. “ major shareholder ” means a
agricultural goods, which applies to the undertaking of business as: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager. “major shareholder” means a
Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision Department Tel. 0-2263-6071 Fax. 0-2263-6332
Phuvanatnaranubala) Secretary-General Enclosure: The Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision