) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
in accordance with Clause 6 which is updated and contains the particulars and additional information in accordance with the rules under Chapter 4. Clause 8 In case where the mutual fund is a country
vested in the securities offeror. If the registration statement contains any false statements or omits to state any material information which should have been disclosed, the securities holders shall be
: This annual registration statement (Form 56-1) contains minimum information required to be disclosed by the issuing company (“Company”). Preparation and filing thereof should take into consideration the
Public Company Limited (Enclosure 3).) • Steps, Procedure, and Method for the Allocation of the Newly Issued Ordinary Shares to the Existing Shareholders Pro Rata to Their Shareholdings (Rights Offering
management company shall show that the fund project applied for an approval for establishment contains the following additional features: (1) if the infrastructure asset to be invested is wholly a brownfield
concerning the Commitment between the Unitholders and the Management Company . Clause 10 A management company shall show that the fund project applied for an approval for establishment contains the following
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the website of the SEC