Analysis on Derivatives Related Rules on Investment Analysis 4 Approved or registered to perform similar duties to derivatives investment analyst on fundamental factors by the lead regulator in a country
regulator in a country recognized by the SEC Office. − − ✓ 4 Manager of a securities company or person with the highest responsibility in the work unit related to capital market.4 − − − 5 Fund manager
for public offerings. Also a concern at the initial stage of development was the overlapped market supervision under the authority of multiple agencies as seen in the following areas: Securities
representatives from 6 ASEAN countries and Hong Kong. Besides the AARG members comprising Malaysia?s AOB, Singapore?s Accounting and Corporate Regulatory Authority (ACRA), and Thailand?s Securities and Exchange
committee, investors, regulators, network firms, other networks, other service providers) Why are they considered relevant parties? For example, - The firm may consider a regulatory authority as a relevant
businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN https://publish.sec.or.th/nrs/7535pe.doc Readers should be
. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN https://publish.sec.or.th/nrs/7535pe.doc Readers should be aware
หลัก (lead regulator) 1.3 นิติบุคคลที่มีกฎหมายเฉพาะจัดตั้งขึ้น ซึ่งมีขอกําหนดเกีย่วกับคณุสมบัติของกรรมการซึ่งมีวัตถุประสงค เดียวกับการกําหนดคณุสมบัติผูถือหุนรายใหญและกรรมการตามประกาศกระทรวงการค
the case 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
not subject to Thai law and supervision of the Thai regulator. In addition, discussions with relevant enforcement agencies have raised concerns that digital assets may be used as a tool to commit