an alleged person, a witness or expert witness. Division 2 Determination of Administrative Sanction Clause 14. In considering an administrative sanction to be imposed on an alleged person regardless of
clear process and disclosure for issuers, which investors, banks, underwriters, arrangers, placement agents and others may use to understand the characteristics of any given Social Bond. The SBP emphasize
Clause 2 shall pay the application fee as per the rates prescribed by the Notification of the Office of the Securities and Exchange Commission governing Determination of Fees for Filing, Registration, and
goals. Hence, determination of regulations on supervision of derivatives clearing houses, efficient use of information technology (IT governance), and implementation of appropriate risk management and
depositary receipts. 2 “institutional investors” shall have meaning in pursuant to the Notification of the Securities and Exchange Commission concerning Determination of Definitions in Notifications relating
a Thai Covered Fund must be complete, accurate, fair, clear, and effective. It must be capable of being easily understood by investors. 27. The offering documents of a Thai Covered Fund must be up-to
shall not create the Conflict of Interest as CPOA and CPOB has the different qualification and will use for the production of product in a clear different purpose. In this connection, the Company will
company’s expense. 2.0 Leadership and independence 2.1 Chair and CEO The board should have independent leadership. There should be a clear division of responsibilities between the chairmanship of the board
Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of Investment Units