existing Thai regime for approved retail funds, this circular sets out the eligibility and ongoing requirements, as well as SEC rules, which a Hong Kong Covered Entity must satisfy if it intends to seek
, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and related businesses, organizations related to securities business
have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities, securities businesses, the Securities Exchange, over-the-counter centers, and
matters related to compliance with this Notification as well as set penalty measures as a guideline for the SEC Office. The Committee under the first paragraph shall comprise no more than five experts in
accordance with the first paragraph shall be specified by the SEC. SECTION 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning
portion of shares as well. In case where S-TREK’s audited financial statements for 12-month period ending on 31 December 2019 to ending on 31 December 2021 (3 years) have a net profit (excluding special
to gather the names of shareholders under Section 225 of the Securities and Exchange Act B.E. 2535 (as amended) by closing the share register book and suspension of share transfer, as well as to amend
intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under Clause 37 of the Notification on Standard Conduct of
Asia), as well as stints at Bear, Stearns & Co and Peregrine Capital (USA) Inc. in New York. Mr.Surachet previously served as CEO of Maybank Investment Bank (formerly known as Aseambankers, the