: .................................................................................................................................................................................... With the binding agreement as follows: 3 Clause 1 We wish to express an intention to submit information electronically to the SEC Office and/or the back office service provider and agree to abide by the
provider and agree to abide by the following conditions: 1 . 1 We fully understand and acknowledge the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021) (Standard
proposal Agree Disagree Do you agree with imposing an aggregate limit on total investments in ICOs by each retail investor in any 12-month period? Do you agree with setting the above aggregate limit at 3
securities business, or the dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve
178,713,420.36 31,807,149.07 1,643,024.07 2 5 Offences/Year 2023 Signed a Letter of Consent Filing a lawsuit to the Civil Court Director of Company Unfair Securities Trading Activities *This offense was committed
Scope of mutual recognition 1. Recognition of Covered Funds (a) Pursuant to this MoU, the Authorities agree to authorise or approve, as the case may be, Covered Funds for offering to the public in Hong
with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of