Practice Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory
practical for property fund managers’ lines of work such as Investment in Real Estate, Real Estate Project Development, Strategic Planning of the Projects, Real Estate Management, Consulting for Real Estate
material to maintain its professional status, or in any aspects which would affect the overall creditworthiness as professional. Clause 3 . In soliciting investors to enter into a derivatives fund management
Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5
, shareholding structure of the entity, nature of business, place of incorporation, place of operating business, financial status, objective of transaction, as well as all documents concerning identification data
matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any
regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating