Microsoft Word - thawatcp 1073.doc This English version is prepared by staff of the Legal Department with the sole purpose of facilitating the comprehension of foreign participants in rules and

of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or supplementary

Microsoft Word - min_pvd1072.doc This English version is prepared by staff of the Legal Department with the sole purpose of facilitating the comprehension of foreign participants in rules and

is prepared by Legal Department with the sole purpose of  facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or

sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or

​ ________________________________    This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event

with the sole purpose of facilitating the comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution

acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of

overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows:           (1) Posting on the

DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22