SEC Office under the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business . Clause 24 In cases where an intermediary being a distribution

Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business . Clause 24 In cases where an intermediary being a distribution channel of any government bond or bond

Part C: Distribution of NRI CIS and CIS Operator’s Local Representative Arrangement for Distribution 17) Units in NRI CIS will be offered/ marketed in Thailand by the following intermediaries who are

offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued

exceeds fifty percent of the total paid-up shares with voting rights of the company being held, or an individual holding shares of the company in any subsequent level in a number exceeding fifty percent of

at (date) __________________________ Part C: Distribution of Hong Kong Covered Fund and Hong Kong Covered Management Company’s Local Representative Arrangement for Distribution of Hong Kong Covered

Securities and Exchange Commission concerning Rules Relating to Maintaining of Capital Adequacy and Professional Indemnity Insurance of Management Companies; (2) the management company is not being

result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing

Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity

cross-border ___________________________________ Total ___________________________________ As at (date) __________________________ Part C: Distribution of ARFP Passport Fund and CIS Operator’s Local