and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
Checklist for Asia Region Funds Passport (ARFP) CIS Application Form Name of ARFP Passport Fund: _________________________________________________ Name of CIS Operator
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
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
Checklist for Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Application Form Name of Hong Kong Covered Fund
into exchanging in-kind for making delivery; (b) there has been an order to purchase units of foreign ETF while placing short selling order, in case of short selling of ETF units by means of purchasing
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
company that provides a custodian service for assets of its clients, whether for the purpose of custody, or purchasing or selling, or borrowing or lending securities, or securing securities purchase or sale