including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
this Notification: “derivatives business operator” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not including
hosts IOSCO APRC Meeting during 9-11 March 2021 as sustainable finance, market fragmentation, supervisory cooperation, and digital assets and cryptocurrency including investor protection perspectives
https://publish.sec.or.th/nrs/5644pe.doc Translation administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar
” means any person whom a registered person https://publish.sec.or.th/nrs/1927pe.doc Translation calculating net asset value of fund or securities-clearing (back-office function) including the segregation
(including aider and abettor) 0 0 - - 0 0 - - Giving false https://www.sec.or.th/EN/Documents/MarketDataEnforcement/enforce-statistic-criminal-EN.pdf HouseStyle HouseStyle (Unofficial Translation) EMERGENCY
securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for https://publish.sec.or.th/nrs
-MRF_SFC-Circular_15Nov22.pdf tracking ETFs including physical gold ETFs16. 3. The Thai Covered Fund’s net exposure17 resulting from the investment in derivatives must not exceed 100% of the fund’s net asset