client, the local securities company would be required to notify the foreign client not to accept purchase orders, transfers or exchanges of securities that would result in Thai investors holding more NVDR
Experience1 List of Required Examinations2 Investment Analysis on Derivatives Related Rules on Investment Analysis 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 2
through local licensed intermediaries in the host country must be authorized or approved for establishment and offering for sale to the public in the home country and must have the characteristics in
Experience1 List of Required Examinations2 Investment Analysis on Securities3 Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or
, exchange of views, and knowledge sharing on digital economy and financial innovations among capital market regulators from 13 Asian-Pacific jurisdictions and relevant local organizations including the
(peer performance) is not required to be presented to Thai investors; - Before agreeing to act as a local intermediary of a Hong Kong Covered Fund, the local intermediary shall arrange to have a written
Kong Covered Entity or a local representative shall submit a duly signed and completed Application Form (Form 35 – HK-TH MRF) to the SEC together with supporting documents which include: As of June 2021
offering with SEC. After the offer for sale of insurance capital bond, the issuer is also required to disclose financial information related to capital adequacy requirements to investors regularly.In
services.This is an additional requirement, aside from the Know Your Client (KYC) process, to be imposed on non-residents so that the UBOs will be acknowledged. In the meantime, local custodians of bonds
of any service required property for assurance; (3) other information which include the following information: (a)( financial status and asset profile in case of any https://publish.sec.or.th/nrs