been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
Exchange of Thailand The Board of Directors of Eastern Water Resources Development and Management Public Company Limited (“Company / EASTW”) at the meeting No.8/2020 held on May 8, 2020 has resolved that
. To: President The Stock Exchange of Thailand The Board of Directors of Eastern Water Resources Development and Management Public Company Limited (“Company / EASTW”) at the meeting No.9/2020 held on May
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by
Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds Passport (“MOC”), and is under supervision of Home Regulator who is a signatory to the MOC. Yes No If “No”, please
on the operation of the securities registrar regarding handling of complaints and provision of contingency plan in case of emergency situations which may affect services of the securities registrar so
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