to do so but only to the extent that it is done in good faith. For the purpose of protecting the trust property, the SEC shall have the power to issue notifications prescribing rules, conditions and
entitlement in property held on trust by a derivatives business operator for its customer with a view to delivery or as a result of acceptance of delivery under derivatives transaction for the account of a
consideration of full payment for value offered. SECTION 33/1.5 In case of an offering for sale of newly issued securities for a trust under the law on trust for transactions in the capital market in the
characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its
firm, principals, staff or any immediate family members; · have any direct financial interests in audit clients or its affiliates? · Any indirect interests including being beneficiaries of a trust
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...
; “Office” means the Office of the Securities and Exchange Commission. Clause 2. In order to ensure that each management company shall conduct its business as professional to conform to the level of trust
securities for sale to a Thai trust fund or has issued non-voting depositary receipts (NVDR) with the Company’s shares as the underlying securities, specify the amount of shares and clarify the impact on the