guidelines of financial advisor which are precise, reliable, secure and sufficient to ensure that the functions of financial advisor shall be performed in accordance with the professional standards and ethics
guidelines for asset appraisal, including operational system to ensure that it would be able to comply with standards and ethics regarding appraisal profession for widely used appraisal; (3) having experience
(according to the line of command) to sign on the letter notifying the result to the applicant. Remarks: (1) To ensure careful consideration, the SEC Office may consult the Audit Advisory Committee on issues
/2561 Re: Preparation of Report on Changes in the Securities and Derivatives Holding of Directors, Executives, Auditors, Plan Preparers and Plan Administrators carefully to ensure complete and accurate
authorised person of the CIS Operator of the NRI CIS. The person who signs shall state his/her full name and capacity, and shall ensure the declaration is dated.) (name of the CIS Operator of the NRI CIS
signed either by the CIS Operator of the NRI CIS or an authorised person of the CIS Operator of the NRI CIS. The person who signs shall state his/her full name and capacity, and shall ensure the
Thailand Concerning Mutual Recognition of Covered Funds and Covered Management Companies and related Cooperation (“HK-TH MRF MoU”) on 20 January 2021. To ensure that business operators have the same
related Cooperation (“HK-TH MRF MoU”) on 20 January 2021. To ensure that business operators have the same understanding of the requirements under HK-TH MRF MoU, the SEC hereby would like to clarify the
investors or securities/investment analysts, such information shall also be disclosed herein to ensure equal information for investors. 1.3 Shareholding Structure 1.3.1 Shareholding structure of the group of