authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
standards should be overseen by bodies independent of the pro- fession. Recommendations: Asian Roundtable economies should work towards convergence with high quality internationally recognised standards and
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
operations. Directors, executives, and employees, as well as related parties of the agencies under supervision, whereby the SEC Office has supervised and inspected the risks related to their business
has arranged an efficient disclosure system to ensure that the material information on REIT has been disclosed correctly and completely, and REIT manager has supervised the compliance with such
Assistant Secretary-General, and Ms. Rebecca Mikula-Wright, AIGCC CEO, delivered the opening remarks at the event. Climate action plan specialists from PRI and AIGCC shared insights and guided participants
Changes in Computer Systems relating to Trading Services with respect to Derivatives __________________ Clause 27 To ensure that the overall business operation of a derivatives exchange is supervised in an
Limited (PLE)?s shares by using material non- public information. Mrs. Usavadee Srisuchart had Mr. Perayuth Nark-In send trading orders of PLE?s shares through others? accounts and assisting in price
found to have made trading decisions for one of his clients without any evidence of the client?s orders or his giving of investment advice. Similarly, Weeraparn was found to have made decisions to send
Policy Department at 0-2033-4662. For electronic comments, please send an email to sawarin@sec.or.th. For paper comments, please send them to: The Intermediaries Policy Department, the Securities and