, or even appear to, impinge upon the independence of ity. Where conflicts of interest or a lack of independence is common at a CRA and hidden from investors, overall investor confidence in the
in cases where their capital is not sufficient for the operation or various risks pursuant to Paragraph 1. Clause 13 Each securities clearing house or central securities depository shall establish a
, Conditions and Procedures for Investment Advisors and Appointment of Investment Advisory Agents (No. 4), dated 28 February 2005. (Translation) -5- In the case where the investment advisory company intends to
or litigation in matters relating to the function to be outsourced; (f) relationship with directors or executives of the intermediary ; (g) in the case where the service provider is located in a
litigation in matters relating to the function to be outsourced; (f) relationship with directors or executives of the intermediary; (g) in the case where the service provider is located in a foreign country
the net trade debt repayment of USD 123,899,729, or equivalent to THB 4,275,683,281.33, under the debt to equity conversion scheme where the conversion price will be fixed at THB 0.1961 per share
Group”) for the net trade debt repayment of USD 123,899,729, or equivalent to THB 4,275,683,281.33, under the debt to equity conversion scheme where the conversion price will be fixed at THB 0.1961 per
decision making Clause 10 In cases where additional facts appear to the SEC Office after the 3 Added by the Notification of the Capital Market Supervisory Board Tor Jor. 33/2561 Re: the Application and
notify thereupon to an intermediary within 30 days as from the date when the SEC Office received the application together with the correct and complete set of evidentiary documentation, unless where it is