business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
Settlement Services with respect to Derivatives __________________ Clause 38 To ensure that the overall business operation of derivatives clearing houses is supervised in an orderly, effective, and timely
bonds, sukuk and Basel III subordinated bonds. The new factsheet form contains more comprehensive details, organized by topic, including the issuer?s type of business, a summary of financial position, a
__________________ Clause 28 To ensure that the overall business operation of securities clearing houses and central securities depositories is supervised in an orderly, effective, and timely manner, securities
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's