business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices
management, designation, control, and supervision of policies of an applicant ; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning
, control, and supervision of policies of an applicant; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning, investment or capital
Forum (ACMF), which is a high-level grouping of capital market regulators in ASEAN jurisdictions with the aim to elevate the quality of business supervision of the listed companies in ASEAN to meet
supervision of…………………………………………………… ……………………...……… (in case of a juristic person under supervision) (4) Type of Business…………………………………………………………… (5) Date of incorporation/registration …………….……. Country
…………………………………………………… ……………………...……… (in case of a juristic person under supervision) (4) Type of Business…………………………………………………………… (5) Date of incorporation/registration …………….……. Country ………..……. (6) Registered capital/Paid-up capital
management or supervision, in materiality, to undertake business efficiently and in compliance with related laws and regulations and fair treatment to investor or client or; (c) lack of financial stability to
. Report of Information Memorandum on the related party transaction of Safari World Public Company Limited; Compensation for business design and the hiring of Cherdchaiwon Company Limited for production and