company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
the Notifications and relevant guidelines, with details as follows: 1. Objective of the Notifications To specify regulations supporting cross-border offerings of covered funds under HK-TH-MRF in
: 1. Objective of the Notifications To specify regulations supporting cross-border offerings of covered funds under HK-TH-MRF in Thailand (Inbound) and offering of Thai covered funds in Hong Kong
contain provisions that clarify and specify elements of the offences regarding market misconduct and increase enforcement measures to improve efficiency and compliance with international standards. The key
for investor protection. In this regard, the SEC Office may prescribe conditions with which the Thai government agencies shall comply. Clause 10 In cases where additional facts appear to the SEC Office
appropriateness and adequacy of the information to support investment decision making and the measures for investor protection. In this regard, the SEC Office may prescribe conditions with which the applicant shall
approval due to the financial advisor’s failure to meet the requirements under Clause 5(3), (4) (a), (b) or (c) or (5) (a) or (c), the SEC Office may prescribe a period or conditions for accepting a
any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the