Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
Green Government Categories. The Smart Office is an example of the SEC?s integrated documentation system that includes e-filing, e-signature and e-document. Increasingly, the SEC is applying information
qualification and do not have prohibited characteristics as specified in the Notification of the SEC Office3; The provision in the first paragraph shall also be applicable to a director, a manager and a partner
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
a license under Clause 3 shall be submitted together with the following evidentiary documentation: (1)( details of the work system for preparing, procesing, storing and reporting provision of services
following evidentiary documentation: (1) details of the work system for preparing, procesing, storing and reporting provision of services as securities registrar, including the internal control system
financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instruments or evidentiary documentation showing the right in the assets of collective investment schemes. “CIS
derivatives exchange [OTC derivatives], the derivatives broker shall provide such services to Institutional investors only, in which case the provision of Clause 17 and Clause 19 shall not apply. In providing