fundraising opportunities. The SEC is therefore proposing to revise the definition of high net worth investor of infrastructure funds and infrastructure trusts as well from an individual who subscribes
oversight in Thailand, priority is given to supervision of individual auditors, but the competent agency is not given the power to directly supervise the audit firms._________________________
%B8%AA%E0%B8%B4%E0%B8%99%E0%B8%97%E0%B8%A3%E0%B8%B1%E0%B8%9E%... ICGN%20Institutional%20Investor%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
+OR+%22electronic+property%2... ICGN%20Institutional%20Investor%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset
a money borrowing; “connected person” means any individual or juristic person having one of the following relationships with the director, executive, major shareholder or controlling person of a
within the full period of 3 years preceding the year of application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under
application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under the law specified in the Notification within the full period 3
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment