for controlling and monitoring the compliance with the policy and measures set in place; (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human
Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its business and provides services for a client
) dated 9 February 2017 (effective on 16 February 2017). 5 Chapter 2 Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following
6 December 2007 (Translation) Pace Development Corporation Public Company Limited 87/2 CRC Tower, All Seasons Place 45th Fl., Unit 3, Wireless Road, Lumpini, Pathumwan, Bangkok 10330 Thailand Tel
), available at http://www.iosco.org/library/pubdocs/pdf/IOSCOPD151.pdf. 2 See id. 3 See IOSCO, Objectives and Principles of Securities Regulation (rev. June 2010), available at http://www.iosco.org/library
are accurate and complete in accordance with the Licensing Manual for the Public at the rates prescribed in the Notification of the Securities and Exchange Commission concerning Determination of Fees
accordance with the procedures as prescribed in the Notification of the SEC Office8 together with at least the following evidentiary documentations: (1) draft trust instrument in case of such offer for sale