) Date (Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
(Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
(Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
company shall notify its counterparty whether an offer price is a firm quotation or an indicative quotation. Clause 11 In the case where a securities company bids or offers a firm quotation, the securities
counterparty whether an offer price is a firm quotation or an indicative quotation. Clause 11 In the case where a securities company bids or offers a firm quotation, the securities company shall proceed as
firm” means a company that has obtained a license to operate business concerning securities brokerage; “registration statement” means a registration statement for the offering of units of foreign
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the