trading orders. Due to these amendments to the relevant regulations involving the implementation of entirely new measures, it becomes appropriate for the SET to communicate those newly deployed measures to
to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall
provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an
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
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time
” ) was THB 441.68 million, increased 12% yoy. This quarter growth was entirely driven by non-social security (“non-SW”) revenue which posted 29% hike whereas social security ( “ SW” ) revenue posted 10
operations. Directors, executives, and employees, as well as related parties of the agencies under supervision, whereby the SEC Office has supervised and inspected the risks related to their business
__________________________________________________ _____________________________________________________________________ 6. I/We affirm that the units of the NRI CIS will be offered entirely to non-retail investors, including institutional, high net