as securities business operator in the category of mutual fund or private fund management or under custody of a securities company in its position as fund supervisor or custodian; (2) a financial
operator must prepare a wrapper in case the prospectus as approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration statement listed above and
ตั้งขึ้นเฉพาะกิจ เชน กองทุนเพื่อแกไขปญหาในระบบสถาบันการเงิน เปนตน 2 Principle 8 states that the regulator should have comprehensive inspection, investigation and surveillance powers. Principle 9
เป็น regulator ซึ่งรวมถึงอ านาจในการออกใบอนุญาตประกอบธุรกิจหลักทรัพย์ โดยไม่ถูกแทรกแซง อันอาจท าให้การออกใบอนุญาตไม่เป็นไปตาม licensing standard ซึ่งการให้ส านักงานมีอ านาจ ในเร่ืองดังกล่าวจะเป็นประโยชน์
abroad include the followings: 3.1 Information on the plan and scope of business operation, including the plan for seeking an approval from the relevant foreign regulator; 3.2 Information on the work
capital market. “ approved person ” means a person who is approved by the SEC Office to participate in a regulator sandbox. Clause 3 The provision of financial services under a regulatory sandbox of a
market. “approved person” means a person who is approved by the SEC Office to participate in a regulator sandbox. Clause 3 The provision of financial services under a regulatory sandbox of a person who is
approved by the SEC Office to participate in a regulator sandbox. Clause 2 The provision of financial services under a regulatory sandbox of a person who is approved by the SEC Office under this Notification
the SEC Office to participate in a regulator sandbox. Clause 2 The provision of financial services under a regulatory sandbox of a person who is approved by the SEC Office under this Notification shall