; (3) make a clarification in order that investors will receive information that is complete, accurate and true, or not misleading; (4) act or not to act in a certain way within a specified period for
Notification. 4 Chapter 1 Rules on Establishing Domestic or Oversea Branch Office ____________________ Division 1 An approval ________ Clause 7 An intermediary who wishes to establish a domestic or oversea
Being REIT Manager __________________ Division 1 Applying for obtaining an approval _____________ Clause 4 The following companies can apply for obtaining an approval of being a REIT manager [from the SEC
SEC has also coordinated with the Department of Special Investigation (DSI), the Economic Crime Suppression Division, and the Technology Crime Suppression Division for their respective consideration
) the Technology Crime Suppression Division, (4) the Economic Crime Suppression Division, (5) the Office of Consumer Protection Board, (6) the Fiscal Policy Office, (7) the Office of the National
banking system. 2 A Thai feeder fund investing in a Hong Kong MRF-eligible master fund is deemed to have substantially complied with Clause 2.1.4.1 – 2.1.4.3 in Division 2 of Appendix 3 of the Notification
complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the satisfaction of the SEC by such time. (2) A Hong
complete information handed over to the intermediary as requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of