constitutes a reasonable doubt, the Office may not grant the approval on the establishment of the fund: (1) the fund filed for the approval on the establishment has features or form that are in accordance with
. Clause 20 If any of the following circumstance arises and constitutes a reasonable doubt, the Office may not grant the approval on the establishment of the fund: (1) the fund filed for the approval on the
soon as possible; 3 (3) the CIS operator has to deliver the information under sub clause (1) and (2) to the securities company within the same period as having duty to deliver to investors or submit to
refinance sustainability-linked loans. 1-4 What is the interplay of “use-of-proceeds” and “sustainability-linked” bonds? Can they be combined if need be? It is possible to combine a “use of proceeds” approach
any possible violations of law under supervision of other agencies are found, SEC will cooperate with the relevant agencies for further proceedings. ----------------------------- Note: MAS Investor
including fly-in, fly-out to the Host Jurisdiction. Furthermore, under the current cross border activities, it is possible that Recognised Representative may extend the services to other countries without
5ANNUAL REPORT 2014THE SECURITIES AND EXCHANGE COMMISSION In 2014, the SEC’s numerous achievements to promote, develop, and oversee the Thai capital market were possible with the cooperation from all
and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards