business operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory
majority of the relevant governing body are non-practitioners (with an appropriate cooling off period for former auditors); and - Funding of the regulator is free of undue influence by the audit profession
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to
Statements [ ] Any documents relevant to the registration statement that contains the update statement (the latest version) (please specify) ______________________________________________ [ ] 2. Certification
Commission, Thailand (SEC) on 20 January 2021, the cross-border offerings of funds between Hong Kong and Thailand shall become effective upon the SEC’s completion of the amendments to the relevant regulations
of funds between Hong Kong and Thailand shall become effective upon the SEC’s completion of the amendments to the relevant regulations. In this regard, the SEC has issued two Notifications of the
2018, digital asset business operators are required to obtain a relevant license from the Minister of Finance. Since 2018, three types https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10423 SEC
digital asset business operators Pursuant to the Emergency Decree on Digital Asset Businesses of 2018, digital asset business operators are required to obtain a relevant license from the Minister of Finance
asset business operator’s advertisement relevant details to the SEC for approval (Clause 34/5 of the Notification of the Securities and Exchange Commission No. Kor Thor. 19/2561 Re: Rules, Conditions and