G.L.E. (Thailand) Co. Ltd. G.L.E. (Thailand) Co. Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives
MergedFile Page 1 of 8 Form 35 – NRI CIS Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator
: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally
: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that foreign ETF is legally
issues the following regulations: Clause 1 In this Notification: The terms, “collective investment schemes,” “units of collective investment schemes,” and “CIS operator” shall have the same meanings as
efficiently on the condition that such outsourcing shall not have a result as if the intermediary does not operate the business. Additionally, the operator shall be in accordance with the rules in Clause 11 and
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