established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
approval or register from home regulator. “ASEAN country” means any ASEAN country which is both a member of the International Organization of Securities Commissions (IOSCO) and a signatory A to the
Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4
under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator
trust (unit trust) having objective to invest in securities or financial instruments; “home regulator” means capital market supervisory agency of country where foreign collective investment scheme has
• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA
of Shock Market Regulator. According to the Notification of the Board of Stock Market Regulator No Tor Jor 20/2551 Re: Principal of the material transactions that are considered to be under the
regulator Host country Licensed, registered or authorised Authorisation subject to local rule and regulation Maintain updated information on the status of professional Host regulator Application process Local
that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment