which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent
operator or derivatives business operator which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an
management system suitable for business types and risk profiles. However, a stricter work system than legally required is welcome as well.? As a frontline compliance supervisor, intermediaries are also
. Victor was then a UOB Kay Hian Co-CEO, a chief of institutional client unit and direct supervisor of the staffs providing services to institutional clients. Although, the Stock Exchange of Thailand
company and its subsidiaries has revised its strategies to cope with the situation by focusing its marketing towards industries least impacted by the coronavirus, such as the food and pharmaceutical
, “mutual fund supervisor” means the supervisor of a mutual fund; “scheme” means a mutual fund scheme; “investment unit value” is the net asset value divided by the total number of outstanding investment
_______________________________________________________________________ Part D: Trustee/ Fund Supervisor 22) Name of Trustee/ Fund Supervisor: _______________________________________________________________________ Address of registered office
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver the mutual fund’s accounts and related documents to the liquidator
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver 2 the mutual fund’s accounts and related documents to the liquidator