Organization of Securities Commissions (IOSCO) and has already signed as a signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information

: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

Thailand Concerning Mutual Recognition of Covered Funds and Covered Management Companies and related Cooperation (“HK-TH MRF MoU”) on 20 January 2021. To ensure that business operators have the same

International Organization of Securities Commission (IOSCO) and shall be a party of Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (MMOU) in type

legal copyright. [M] 7. Capacity planning. · Providing an assessment the importance computer system in advance for compliance support in the future. [M] 8. Virus prevention and malicious code. · Providing

form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008

involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance

structure: (i) That is aimed at cooperation, and (ii) That is clearly aimed at profit or cost-sharing or shares common ownership, control or management, common quality control policies and procedures, common

Fund or CISs in Home Economy satisfied those stipulated in section 17 of the Passport Rules (Annex 3) of the Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds

information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from