Intermediaries By virtue of Clause 5(1) in conjunction with Clause 12(3) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 (2013) Re: Standard Conduct of Business Operation, Management
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
The Repeal of Notifications related to Operation of Securities Clearing House, Central Securities Depository, Derivatives Exchange and Derivatives Clearing House
director(s) without collateral in 2013. As to the 2015 annual financial statements, EIC executives failed to assess and update the fair price for the investment fund allocated to two affiliates – Sport Event
Commission (SEC) Secretary-General Professor Dr. Pornanong Budsaratragoon stated that the SEC has ensured the continuous normal operation of the trading systems of SET, capital market participants, and the
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information concerning operation of securities
shall be within one year from the effective date of Form 69 – CIS full. 2) Form 69 – CIS annually update The Hong Kong Covered Management Company who wishes to offer for sale of a Hong Kong Covered Fund