custody of assets of clients, a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under its custody are secured
case the securities underwriter performs duty as market maker for an ETF fund, providing that such securities underwriter has put in place a system for prevention of conflicts of interest under the
securities underwriter has put in place a system for prevention of conflicts of interest under the Notification of the Office of the Securities and Exchange Commission governing providing of work systems for
; (5) purchase for its own proprietary portfolio in which case the securities underwriter performs duty as market maker for an ETF fund, providing that such securities underwriter has put in place a
สารสนเทศข่าว มติ BOD 5-60 Final 20171126 En No. NDR013/2017 Subject Resolution of the Board of Directors’ Meeting To President The Stock Exchange of Thailand Enclosure 1. Information Memorandum on 2. Information Memorandum regarding the offering of the newly issued ordinary shares to specific investors (Private Placement) 3. Capital Increase Report Form (F53 N.D. Rubber Public Company Limited (“ No.5/2017 held on November26, 2017 which has the material resolutions as follows 1. Approved to propo...
and FKRMM. 4. An internal control is in place as required by the announcement of Capital Market Advisory Board. NDR has already set up an internal control as required by the announcement of Capital
(-Translation-) Ref. No. VGIGM.CSC.SET.18.13 May 17, 2018 Subject Dividend Payment, Investment in the shares of Kerry Express (Thailand) Limited, Issuance and Offering of the Newly Issued Ordinary Shares of the Company via a Private Placement, Partial Sale of VGI Global Media (Malaysia) Sdn. Bhd.’s shares, Issuance and Allocation of Warrants to Purchase Newly Issued Ordinary Shares of VGI Global Media Public Company Limited No. 2 (VGI-W2), Capital Increase through a General Mandate and Calling t...
) the applicant shall put in place systems of work that are equipped to accommodate the procedures for issuing depositary receipts and the undertaking under the commitments in the depositary agreement
fund of funds. Specific details of the limited partners cannot be disclosed to public as they are prohibited under confidentiality agreements. 3 Link Capital I and ACO I are private limited companies set