notification hereto: (1) “derivatives broker” means any entity licensed to undertake derivatives business in the category of derivatives broker; (2) “manager” means any person who is authorized by the board of
provision: “SECTION 96 The SEC may require a securities company to have a paid-up registered capital in an amount specified for operation of securities business in any particular category or manner.” SECTION
) Financed Portfolio Decarbonization 3 Sectors Decarbonization Strategy in 2022 Cumulative estimated emissions % estimated Total Scope 3 Category 15 8 100-200billion in sustainable financing and investment
the engagement team; (b) having the competence and capabilities, including sufficient time, and the appropriate authority to perform EQR; (c) complying with relevant ethical requirements, including in
be guided by the following five fundamental ethical and professional principles: 1. Integrity 2. Objectivity 3. Professional Competence and Due Care 4. Confidentiality 5. Professional Behaviour Some
No. 23) (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Mutual Fund Management B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities
with the law relating to public limited companies. SECTION 33.4 No company shall offer for sale newly issued securities in the category of shares, debentures, bills, certificates representing the rights
work unit related to REIT management. 3 Part 1 REIT Fact Sheet 1. Material Information of REIT Specify the following information: - material information of REIT, for instance, name of REIT, category
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
Lederer (Thailand) Company Limited Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office