authority to set out rules, conditions and procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment
grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
การเงินจากหลายประเทศทั่วโลกเข้าร่วม อาทิ Securities and Exchange Commission (สหรัฐอเมริกา) Financial Conduct Authority (สหราชอาณาจักร) Monetary Authority of Singapore และ Bank of Ireland โดยมีนาง
authority, whether in Thailand or in foreign countries, or subject to any legal proceeding following the criminal complaint initiated by such financial regulatory authority, (Translation) -4- or having been
registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor
Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
Authority, United Arab Emirates.