equivalent position called otherwise, and such person shall be responsible for a line of work relating to securities services, securities operation, supervision of securities operation, or research on
operation, supervision of derivatives operation, or research on derivatives, or other similar lines of work regardless of the fact that such function provides services for other persons or for the benefit of
) Evidence that foreign ETF and foreign ETF operator are subject to supervision of foreign regulator who is a member of the International Organization of Securities Commissions (IOSCO); (5) Certification that
this regard, the SEC Office shall deliberate the appropriateness under the following rules: (1) having explicit policy and objective in respect of member supervision and promotion of the appraisal
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
under Thai or foreign law related to supervision of financial institutions, and the barring period from serving as director, manager, person with managerial authority or advisor of financial institution
its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office
and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities