Securities and Futures Commission of Hong Kong) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company
, and a letter appointing a local representative in Thailand to be the person responsible for the operation of the ASEAN Collective Investment Scheme to perform duties as specified under the Notification
Assessment (ITA), and the National Archives of Thailand, etc.; Audit firms; Regulatory agencies relevant to local and foreign capital markets. In disclosing your personal data to other persons, the SEC Office
Narcotics Control Board (ONCB), etc.; Audit firms; Regulatory agencies relevant to local and foreign capital markets; Foreign regulatory agencies. In disclosing your personal data to other persons, the SEC
been filed under Paragraph 1 above. (3) document demonstrating that the collective investment scheme is established legally under the law of the jurisdiction of the home regulator; (4) a letter
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating