The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

brokerage, securities dealing or underwriting of investment units All mutual fund supervisors No. SEC. Nor Jor. (Wor) 1/2564 Re: Mutual Recognition of Funds between Hong Kong Special Administrative Region of

Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF ( Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's

internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel

Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for

investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the

. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders

: Type of arrangement: ( ASEAN Collective Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport

Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF ( Mutual Recognition of Funds