registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor for listing or issue manager to the offer; c. underwriter to the offer; d. legal adviser to the offer; e
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer, if any; and (d) the legal advisers to the
the issuer who is responsible for the information contained in the prospectus. B. Advisers and other parties 1. Provide the names and addresses of – (a) the issuer's principal bankers to the extent the
access to investment-related information. To fulfill this mission, the SEC developed the "Mutual Funds Insight" microsite to serve as a center of knowledge, services, and tools related to mutual fund
operators to adopt this suitability test to help improve service quality and better fulfill the investor demands,? Duangmon added.
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, stated that SEC encourages intermediaries in the capital market, both in securities business and derivatives business, to fulfill the so-called