foreign country; (2) there is no ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the
ground to believe that the foreign personnel is or used to be engaged in an inappropriate conduct or fails to comply with the rules on giving of information or advice on the capital products denominated in
specified in the notification of the association approved by the Office. The derivatives fund manager shall disclose to the customer investment information, results of operation, rules and procedures for
, such securities company may arrange for a person who is not an investor contact to proceed, provided that such securities company shall comply with the following rules: (1) provide information to the
Rules on Transactions for Clients with Intermediaries or Connected Persons shall be in accordance with Chapter 2; (3) Disclosure of Information related to Acts That May Cause a Conflict of Interest shall
reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in
September 2013 (“ Notification No. Tor Thor. 35/2556 ”) and the Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information
examined and such appraisal is conducted for public purposes for the disclosure of information to the investors; (c) the appraisal on the infrastructure asset is conducted under the following rules: 1
ethics and professional standards of conduct. In the case where the performance of duty involves non-public information, operational rules for the prevention of the disclosure of confidential information
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company