------------------------------------------------------------------   This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be

Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect

English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or

orders from such client. They just submitted trading orders as directed by {A}. Furthermore, they had never conducted KYC/CDD for the client because {A} prohibited them from doing so. Also, {B} received

application by using the name and signature of a friend of hers. In case of {B}, the SEC directed KTB Securities to conduct further probe into the case. As Panadda previously claimed, {B} admitted that she

authorities. Under the law, advisers with between $25 and $100 million of assets under management are directed to register with the states, if they are subject to examination by state securities

17021 Train-the-Trainer Program Training, accreditation and regular CPD events Assurer Training and Accreditation Program UNDP-DUKE IMM for the SDGs - free Coursera online self-directed training course

) Investment in infrastructure assets directed for benefitting the public on a large scale (the same consideration criteria as applied for IFFs, mutatis mutandis) *Greenfield herein refers to infrastructure

กฎกระทรวง ฉบับที่ 5 (พ -Unofficial translation- This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules

 comprehension of foreign participants in the rules and regulations promulgated under the Securities and Exchange Act B.E. 2535 and shall not in any event be construed or interpreted as having effect in