, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for other persons or for the benefit of the
responsible for services relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function
Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision Department Tel. 0-2263-6071 Fax. 0-2263-6332
Phuvanatnaranubala) Secretary-General Enclosure: The Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision
) Evidence that foreign ETF and foreign ETF operator are subject to supervision of foreign regulator who is a member of the International Organization of Securities Commissions (IOSCO); (5) Certification that
this regard, the SEC Office shall deliberate the appropriateness under the following rules: (1) having explicit policy and objective in respect of member supervision and promotion of the appraisal
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
under Thai or foreign law related to supervision of financial institutions, and the barring period from serving as director, manager, person with managerial authority or advisor of financial institution