. Division 1 Outsourcing central utility function _______________________ Clause 12 In case of outsourcing central utility function, an intermediary shall assign only a person approved by the SEC Office to be
2015 (effective 1 June 2015). 19 (a) supervise the underwriter to allocate units in accordance with the rules in this Notification and the Notification of the Capital Market Supervisory Board concerning
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
objective of investment, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related
, financial condition or the demand of a specific client (specific advice), such intermediary shall assign the job to an investment planner pursuant to the Notification on Rules related to Capital Market
[ii] assign others apart from the REIT manager, it has to be clearly specified such matters. In this regard, such matters shall not have the materiality contary to or in contrast to the Notification of
Investment in the Ordinary Shares of KPN Academy and the issuance and the offering of the newly-issued shares to allocate to the sellers who are specific persons (Private Placement), i.e. the Existing
the Transaction on the Investment in the Ordinary Shares of KPN Academy and the issuance and the offering of the newly-issued shares to allocate to the sellers who are specific persons (Private