19 in Asia-Pacific) that are signatories of the IOSCO MMoU (as of July 2022). The MMoU, widely accepted as global multilateral information-sharing arrangement among securities regulators around the

operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at the branch office

to ensure operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at

appropriate; (2) The procedures to be made by the management company to ensure operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of

continuity plan under Clause 6 covers events of disruption of service providers except where the securities company has established any arrangement to ensure that the relevant service provider is able to

arrangement to ensure that the relevant service UNOFFICIAL TRANSLATION provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out

established any arrangement to ensure that the relevant service provider is able to continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the

, Suthin and NE. Sunthon, who was an NE director, was involved in the arrangement. Case 7: Committing a fraud by misappropriating money of IEC through the transactions related to the outsourcing contract

Capital Market Supervisory Board concerning Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries

recognition of funds arrangement between Hong Kong and Thailand (“Thai Master Fund”). (m) “Hong Kong Management Company” means a corporation which is licensed or registered for Type 9 regulated activity (asset