Operator) [ ] 4. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator (issued by CIS Operator) [ ] 5. Evidence on the appointment of an authorised person of CIS
aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4) being able to show that person who is or will be director
derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
Trusts; “foreign entity” means the following entities established under foreign laws: (1) agency or organization of a foreign government; (2) international organization; (3) foreign juristic person
the representative of Hong Kong Covered Management Company (issued by Hong Kong Covered Management Company) [ ] 5. Evidence on the appointment of an authorised person of Hong Kong Covered Management
the appointment of an authorised person of Hong Kong Covered Management Company (issued by Hong Kong Covered Management Company) [ ] 6. Master fund’s prospectus and fact sheet/product highlight sheet
Section 317/5 of the SEA. Jakkaphong, as a person responsible for the operations of the legal entity, caused JKN to commit the aforementioned offense. He is therefore subject to the same penalty under
supervision would expand to cover additional entity types under the SEC regulations; (2) Define clear roles, responsibilities and involvement of the board of directors, including the governance body, to ensure
license to undertake derivatives business; (b) Any juristic person established under foreign laws which is permitted by such laws to undertake derivatives business and is under the supervision of an entity