investment through intermediaries, transfer of investments in provident funds, public savings funds, life insurance premiums, Islamic bonds (sukuk), securities borrowing and lending of the Bank of Thailand
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries ; (e) record of complaints
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries; (e) record of complaints or
Standard and Certification Scheme is an easy-to-use screening tool that provides a clear signal to investors and intermediaries on the climate integrity of Certified Climate Bonds. A key part of the Standard
intermediaries Rating providers Indices providers Asset managers Institutional investors Reporting organizations Rules and Requirements Standard setters Actors in the ESG Investment ecosystem Source: Adapted from
as follows: licensing and supervision of the activities of intermediaries, including fund managers and distributors; authorising funds and their offering documents to be offered to the public in Hong
the actual fee, the management company shall update such information in the factsheet without delay, publish the updated information on the management company’s website, notify the local intermediaries
: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries: “High-risk or complex mutual fund” shall be specified. 18.4 For a
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...