securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
significant working system and internal audit follow-up report together with schedule of authority (if any); (17) a copy of report or opinion of the expert (if any); (18) a checklist form of due diligence
Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the
under this Act; (2) the determination of application fees, approval fees or operating fees for business undertaking under this Act; 3 (3) the prescription of guidelines for consideration of any issues
, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, approval fees or operating fees for business undertaking under this Act; (3) the
rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, approval fees or operating fees for business undertaking under this Act; (3
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
operation as executive, including a person who holds the position with the same authority as such person of the company. “registration statement” means a registration statement for an offer for sale of
the Securities and Exchange Commission Kor Khor. 8/2554 Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives (Codefied) 28