Settlement of Securities for Management of Market Makers Risks Borne by Securities Companies and Management of Clients Assets In case of Internal Short. 04/09/2015 Contact The Securities and Exchange
------------------------- Securities Issuance and Takeover Asset Management Securities Brokerage/Dealer/Underwriter and Financial Advisors Marketing IP/FG Ombudsmen Private Fund Marketing Representative (PF) Accountants and Auditors
) 8841pe.doc MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while
this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3) “ infrastructure asset ” means: (a) the
units responsible for the internal audit. - Review the risk assessment and risk management systems to oversee that they are appropriate, adequate and efficient. - Review business operating procedures to