shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the
, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the SEC Office under the Notification of the
Provision ____________________ Chapter 1 Scope of Applicability ____________________ Clause 4 The regulations on structured notes is under two separate parts due to the combined characteristics of the bonds
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
the infrastructure asset in accordance with the Notification of the Office of the Securities and Exchange Commission concerning Granting of Approval for Auditors and Scope of Duties. Clause 101 After
to protect the confidentiality of some types of information these entities share with them. To help achieve the objectives outlined in the IOSCO CRA Principles, which should be read in conjunction with
of Director: The Board of Directors has considered the agreement and has opinion that the transaction is necessary and reasonable. F 24-1 Form to Report on Names of Members and Scope of Work of the
Offer for Sale of Securities. Part 1 General Provisions ______________________ Chapter 1 Scope of Effectiveness _______________________ Clause 4 This Notification shall apply to an offer for sale of
exceeding Baht 5,600,000.- (including VAT) Above transaction came under the scope of connected transactions for listed companies as specified in The Notification of The Capital Market Supervisory Board No