for sale of units of foreign collective investment scheme Name of foreign collective investment scheme (CIS): Date of the constitution of the CIS (dd/mm/yyyy): Home jurisdiction: Name of home regulator
approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC
Registration Statement for an offer for sale of units of foreign collective investment scheme Part I Name of foreign collective investment scheme (CIS): Home jurisdiction: Name of home regulator: Type of
may be. In the case where there is a material change to the information specified in the effective registration statement and such change has been notified and approved by Home Regulator, the CIS
37 Principles, which can be mainly separated into two main groups: principles for regulator and principles relating to market participants. The assessment grades are divided into four categories: (1
SHARE : SEC chief shares vision for balancing the roles as regulator and developer of capital and digital asset markets Tuesday 10 October 2023 | No. 181 / 2023 Bangkok, 10 October 2023 – The Secretary
ใหค้ณะกรรมการ ก.ล.ต. มีอ านาจก าหนด หลักเกณฑ์ให้ ตลท. ปฏิบัติ รวมทั้งบทลงโทษทาง ปกครองสอดคล้องกับมาตรฐานสากลในการก ากับดูแล SRO และ secondary market ซ่ึงก าหนดให้ regulator ต้อง มีอ านาจเพียงพอในการ
regulator; (4) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there