apply for the Type D license (limited brokerage, dealing or underwriting of investment units) and investment advisory service license. The revisions would help investing public to have greater access to
infrastructure funds generate returns that reflect the changing inflation rate, it could therefore help prevent inflation risk.?To allow the funds to invest in infrastructure funds as another investment
achieve more practicality and be more responsive to current circumstances which can help facilitate private sector?s fund raising in the capital market. Without compromising investor protection, the revised
cover significant issues and reviewing financial information disclosure. Furthermore, supporting tools for effective performance of audit committee have been provided to help prepare audit committee for
will help business operators realize that issuing shares, debentures, or other types of fundraising through the capital market is not too complicated or costly. Rather, it will be alternative fundraising
help ease procedures for approval and renewal of approval which is expected to result in increasing number of personnel to be sufficient for market demand.The revised regulations require investor contact
changing and our CRA regulations are becoming outdated. This supervisory amendment will enhance CRA credibility, conflicts-of-interest management, and information disclosure and safekeeping. This would help
platforms.Over the years, reports of suspicious instances and assistance requests have served as crucial information that help shape proactive measures for the Investment Scam Hotline under the SEC Complaint
Investment Scheme for non-retail investors (NRI CIS) ASEAN Collective Investment scheme for retail investors (retail ASEAN CIS) Asia Region Funds Passport (ARFP) Foreign ETF Name of CIS operator: Tel/Fax
Summary of Rules on Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People’s Republic of China and Thailand (HK-TH MRF) 1. Offerings for sale of Hong Kong Covered