actively managing strategies for ETFs, i.e., active ETFs, in addition to the existing passive ETFs; 2. Streamlining consideration procedure for underlying index which will be further contemplated for
Re: Exemption from the Requirements to Submit Registration Statements for the Offer for Sale of Debt Securities
Acting in Concert as a Result of the Nature of a Relationship or Behaviour and Requirements Under Sections 246 and 247 (No. 2)
Acting in concert as a result of the nature of a relationship or behaviour and requirements under Sections 246 and 247
fund (RMF) and maintain the same benefits given to active PVD members in the event that the employers? PVD is dissolved or the employees? membership ends. The Capital Market Supervisory Board (CMSB) has
Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers
Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and