). operation only when the SEC Office verifies that: (1) the licensee has arranged for the work system and personnel to be ready in undertaking the business as shown in its application except where there is any
business shall comply with the following conditions: (1) The licensee shall commence the undertaking of gold derivatives brokerage business only when the SEC Office verifies that the licensee has satisfied
derivatives brokerage business shall comply with the following conditions: (1) The licensee shall commence the undertaking of gold derivatives brokerage business only when the SEC Office verifies that the
CRA should clearly indicate the attributes and limitations of each credit rating, and the extent to which the CRA verifies information provided to it by the rated entity, obligor, or originator, or the
rating, and the extent to which the CRA verifies information provided to it by the rated entity, obligor, or originator, or the underwriter or arranger of the rated obligation. For example, if the credit
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...