lien against the issuer’s property or before taking any other action upon the request of the debt securities holders. 5. Disclose the material terms of the contract or provisions of law governing the
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by
/are under supervision of Home Regulator which has the authority to impose sanctions or to order the CIS Operator of the ARFP Passport Fund to act or refrain from acting in case there is an action which
, regulations under the law governing accounting professions, and other additional regulations prescribed by the law governing securities and exchange; cooperating with and facilitating the SEC 's representative
February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and work systems, causing the company to fail to operate its business in compliance with the governing
level of strictness of the regulations governing the issuance and offer for sale of debt securities varies depending on the types of investors. For example, the regulations on a private placement to
supervision scheme follows a similar regulatory framework to the one governing equity crowdfunding in several dimensions including: (1) issuers are allowed to offer either secured or unsecured debentures via
Bangkok, July 8, 2014 ? The SEC will issue regulations on offering of municipal bonds issued by public sector organizations. The regulations will be based on the similar principle as those governing
rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration process in line with the current economic environment, international standards and relevant laws
authorized by the regulator having authority to regulate such scheme. Clause 2 This Notification shall come into force as from 16 January 2013. Notified this 21th day of November 2008. -signature- (Chaikasem