Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546
holding the in-person meeting on the condition that the unitholders have a channel for posting inquiries or requesting clarifications. In addition, a summary of Q&A must be disclosed through an
/Documents/Assessment/49801431.pdf 7025se.pdf the deposit and demonstrate that such deposit by the securities clearing house is for the purpose of complying with Section 223/3. (3) In the case of other asset
offerings of funds within the region by completing the assessment on the Philippines’ regulatory regime for joining the ASEAN Collective Investment Scheme (ASEAN CIS) framework. The meeting was also updated
asset class among global investors. The result of ASEAN CG Scorecard 2014 assessment showed that Thailand could still hold the leading role and was ranked at the top for the third consecutive year
efficiently on the condition that such outsourcing shall not have a result as if the intermediary does not operate the business. Additionally, the intermediary shall be in accordance with the following rules
as necessary for operating business efficiently on the condition that such outsourcing shall not have a result as if the intermediary does not operate the business. Additionally, the intermediary shall
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3