process of temporarily suspending their business or suspended business operations by SEC List of company licensed Securities Financing (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company Abbreviation Company
) Documents for the Application for a License to Undertake Securities Business in the Category of Mutual Fund Management Report/Form (Notification of Securities and Exchange Commission) Certified Statement
.: _________________________ 15) Is the CIS Operator currently licensed/ authorised/ approved by its Home Regulator to conduct the activities as specified by section 56 of the Passport Rules (Annex 3) of the MOC? Yes No If “No
.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed/ authorised/ approved by its Home Regulator to conduct the activities as specified by section 56 of the Passport Rules
.: _____________________________ Fax No.: ___________________________ 11) Is the Hong Kong Covered Management Company currently licensed by/registered with the Securities and Futures Commission of Hong Kong to conduct the
.: ___________________________ 11) Is the Hong Kong Covered Management Company currently licensed by/registered with the Securities and Futures Commission of Hong Kong to conduct the activities as specified by section 8 of Annex
https://publish.sec.or.th/nrs/5883pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board
filing system only , print out the completed form, affix the authorized signature and submit the https://publish.sec.or.th/nrs/5391pe.doc Translation securities company (No. 2) dated 25 May 2004. Clause 2
house” means any licensed derivatives clearing house according to the law on derivatives; “central securities depository” means any central securities depository according to the law on securities and