following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset
. • Anecdotal evidence suggests firms that choose to list via RTOs (back-door listing) are low quality firms and that these transactions can be associated with pump-and-dump schemes. • Evaluation on the merits of
Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas the securities company may
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
business license shall obtain securities business license only when it has the following qualifications: (1) having paid up registered capital not less than the amount specified in the notification of the
look-back period for refinanced Green Projects. “Look-back period” refers to a maximum period in the past that an Issuer will look back to identify assets/earlier disbursements to such eligible Green
the share of financing and refinancing, and where appropriate, also clarify which investments or project portfolios may be refinanced and, to the extent relevant, the expected look-back period for
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
intermediary in the category of derivatives investment management and shall obtain a prior consent from the client, who uses the service from the intermediary. 1 Amended by the Notification of the Capital Market