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
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the
Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and Exchange Commission hereby issues the
Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and
activities that indirectly contribute to improvement in the public health and welfare, environment conditions, safety of public lives and assets. 4. The name of fund shall begin with “Infrastructure Fund
activities that indirectly contribute to improvement in the public health and welfare, environment conditions, safety of public lives and assets. 4. The name of fund shall begin with “Infrastructure Fund
Développement (AFD), in collaboration with the Office of Natural Resources and Environmental Policy and Planning (ONEP) and the Thailand Environment Institute (TEI), with the objective of implementing financial
Développement (AFD), in collaboration with the Office of Natural Resources and Environmental Policy and Planning (ONEP) and the Thailand Environment Institute (TEI), with the objective of implementing financial