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
manufactured in a country subject to emissions constraints for manufacturers is treated as equivalent to a lower carbon vehicle manufactured in a non-regulated country. This weakens signals to consumers who, as
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
investment areas, management of unallocated proceeds and frequency of periodic assurance engagements. (user can refer from guidelines on bond issuance and offer for sell of green bond regulated by related
January 2016. Clause 4 In case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of
institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has already had independent director in accordance with
derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures
derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures
Fund 13) Units of the Hong Kong Covered Fund will be offered/marketed/distributed in Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand: Asset Management Company
Administrative Order Issuance is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a regulated person who is disqualified or fails