Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of
Persons Civil Monetary Penalty A compensation at an equal amount to the benefit received A reimbursement of investigative expenses Cases Persons Fail to exercise duty of care - - - - - - - Presenting a
relation to fact proving and shall have a duty to notify the authority of any known evidence. Clause 9. When the authority has inspected the fact, it shall notify an alleged person of an allegation in order
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA
Appendix 2: National regulations Information on the laws and regulations relevant to performance of duty as Recognised Representative in each Host Jurisdiction 14 3 1. Introduction 1.1 Background Mobility of
making of investors significantly or ensures equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty and responsibility to disclose accurate and
Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other
Commission No. SorNor. 31/2554 Re: Rules, Conditions and Procedures for Appointment and Performance of Duty of Infrastructure Fund Manager By virtue of the provision in Clause 5, Clause 7 and Clause 82(1) and
Section 317 of the Securities and Exchange Act B.E. 2535: (1) the Commissioner-General, Royal Thai Police or the Deputy Commissioner in case where the Commissioner-General is unable to perform the duty of