regulatory body for negligence, incompetence, mismanagement, dereliction of duty or violation of law or regulation. How to Apply for the ACMF Pass a. The attached firm of the foreign applicant shall manually
Microsoft Word - เอกสาร hearing เกณฑ์ foreign issuer_060809_.doc เอกสารรับฟงความคิดเห็น เร่ือง การปรับปรงุเกณฑการอนุญาตใหบริษัทตางประเทศ เขามาระดมทุนและจดทะเบียนในตลาดหลักทรัพย สํานักงาน สํา
exchange service under law of such jurisdiction and is under supervision of authority or agency having duty to supervise derivatives; (5) “foreign derivatives business operator” means juristic person
Sukuk by a Trustee Who Is a Foreign Business and Disclosure of Information; (4) financial statements which a foreign business has the duty to prepare and submit to the SEC Office under Section 56. Clause
to the remaining period of approval as category B investor contact. Clause 9. Any person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an
to the remaining period of approval as category B investor contact. Clause 9. Any person who intends to perform duty as investor contact specifically in foreign countries shall be deemed to be an
issuance and offering to shareholders in such a way that would oblige the Company to have a duty under foreign law. 5.3 Legal disputes Give a brief description of the ongoing lawsuit(s) or legal dispute(s
scheme shall submit information under (1) to securities company within the same period as that person responsible for undertaking of foreign collective investment scheme having duty to submit to investor
under Section 89/31. Clause 5 In cases where any person has a duty to file report on acquisition or disposition of units of foreign ETF, calculation of voting right and filing of such report under Section
delivered to investor or submitted to home regulator, as the case may be; (2) the CIS operator has duty to deliver the information affecting materially the foreign collective investment scheme to investors as