Fax No.: _____________________________ In case the Hong Kong Covered Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF
.: _____________________________ Fax No.: _____________________________ In case the Hong Kong Covered Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an
members to ensure efficient derivatives clearing and settlement, including in the case of default on the obligations; (4) business continuity management, with measures that meet international standards in a
) review of suitability of (1). 2 In the case that the intermediaries have fully complied with the Guidelines under the first paragraph, the SEC Office shall consider that the intermediaries have already
) review of suitability of (1). In the case that the intermediaries have fully complied with the Guidelines under the first paragraph, the SEC Office shall consider that the intermediaries have already
Company’s working capital is indirectly subsidized via trade creditor in form of loan and via business partners in form of raw material supported for production (under Collateral Management Agreement – CMA
restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money
services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client
/suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering