University INTRODUCTION • What is the effect of regulatory jurisdiction on the behavior of financial actors? Specifically, investment adviser misconduct? • Setting: Dodd-Fank re-jurisdicts “mid-size” RIAs in
6 Sustainable Development Goals by UN • Promote eco-friendly business activities and address environmental & social risks • Energy Management System Committee, focusing on energy related issues
of MTN Program…………………………………………………… Financial Adviser…………………………………………………………… Underwriter…………………………………………………………………… Representative of Debt Securities Holders………………………… Registrar and Paying Agent
adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries whereby holding oneself out as providing derivatives advisory services on behalf of persons who undertake
derivatives adviser; (2) giving advice from the Kingdom of Thailand to investors in foreign countries whereby holding oneself out as providing derivatives advisory services on behalf of persons who undertake
approval for investor contacts enclosed herewith. Please be informed and act accordingly. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Investment Adviser Supervision
) Secretary-General Investment Adviser Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies
principle amount/ par value per unit/offering price per unit etc. Credit Rating………………………………………………………………….. Financial Adviser……………………………..……………………….…….. Underwriter……………………….…………………………..……….……… Representative
Program…………………………………………………… Financial Adviser………………………………………………………… Underwriter………………………………………………………………… Representative of Debt Securities Holders………………………… Warnings: “Prior to making an investment decision
……………………………………………… Size of MTN Program…………………………………………………… Financial Adviser………………………………………………………… Underwriter………………………………………………………………… Representative of Debt Securities Holders………………………… Warnings: “Prior to making an