Fund Management) Circular Letter No. SEC (Wor) 24/2552 Re: Clarification for Understanding of Private Fund Management Establishment of Mutual Funds Cross-border Offering of Funds Offering of Investment
enhance the knowledge and understanding of the law and regulation of the public. Interested parties are welcome to call Help Center at 1207 (press 4) for appointment with SEC officials at no cost. SEC
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of
bounded by the memorandum of understanding with the SEC Office relating to a streamlined review framework for a dual offering made in two or more ASEAN countries simultaneously or relatively in the same
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
paragraph, the intermediary shall proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who
Supervisory Board concerning Rules on Personnel in the Capital Market Business. For the appointment of the independent director under the first paragraph, the intermediary shall proceed completely before the
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a