points/concerns have been followed up. B9 Where the firm operates as part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent, and results
listed securities to be deposited by a client as collateral for purchasing securities, or a client’s excessive assets held in a margin account in proportion to the purchasing value of any securities prior
Entities to the extent possible under Domestic Law. 2. This MoU does not create any legally binding obligations, confer any rights on any Person, or modify or supersede any Domestic Law. 3. This MoU
are enforceable under the SEC Act, the violation of which is a criminal offence. The extent of the SEC’s authority is further defined in SEC notifications, in which details of its context and powers
extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer, if any; and (d) the legal advisers to the
approval prior to issuance and offer for sale of securities; however, the consideration process must not impose excessive obstacles or costs on the issuing companies. · The SEC requires that
นโยบายในการป้องกันผู้ลงทุนซื้อขายหน่วยลงทุนถี่เกินไป (Excessive Trading Policy) 28/03/2554 7. หนังสือเวียน ที่ กลต.น.(ว) 48/2550 การดำเนินการในระหว่างที่ตลาดหลักทรัพย์แห่งประเทศไทยสั่งห้ามซื้อขายหลัก
not overlap duties of the management or the requested information should not be excessive. Q: Prior proposing to the board, shall the company has approval from audit committee in case it applies for a
approval prior to issuance and offer for sale of securities; however, the consideration process must not impose excessive obstacles or costs on the issuing companies. · The SEC requires that
impose excessive costs on small and medium-sized businesses and startups. SEC will also continue to develop fund-raising platforms and channels suitable for new generation investors and promote