] has certain behaviors indicating unlawful acts subject to administrative sanction; (4) “authority” means the SEC, administrative panel and the SEC Office, as the case maybe; (5) “administrative panel

Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the

relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is

Malaysia, the Monetary Authority of Singapore and the Philippines Securities and Exchange Commission have signed a Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional

received from the sale of units to the trustee in order to manage the property for the benefit of the unitholders with trustworthiness; (b) the REIT is not a juristic person, but is a pool of assets legally

affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in the audit firm who has

prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited

violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction

. The SEC Office shall publish the names of the trustees approved to undertake trust business. SECTION 56 Where it is necessary to maintain integrity or trustworthiness of the system of trust business

trustees approved to undertake trust business. SECTION 56 Where it is necessary to maintain integrity or trustworthiness of the system of trust business, the SEC shall have the power to specify conditions