: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally
: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that foreign ETF is legally
suitability of investment relating to such securities; (9) “ foreign securities business operator ” means any person licensed to undertake securities business by a regulatory agency on securities and securities
securities; (9)2 “foreign securities business operator” means any person licensed to undertake securities business by a regulatory agency on securities and securities exchanges in a foreign country which is a
securities; (9)2 “foreign securities business operator” means any person licensed to undertake securities business by a regulatory agency on securities and securities exchanges in a foreign country which is a
issues the following regulations: Clause 1 In this Notification: The terms, “collective investment schemes,” “units of collective investment schemes,” and “CIS operator” shall have the same meanings as
may outsource to a service provider under this Chapter are as follows except the cases under Paragraph 2: (1) management of client’s right and benefit; (2) risk management only if the outsource operator
outsourced activities, for providing services shall be within the scope of work and under the rules as prescribed in this Notification. Clause 4 The SEC Office may announce a detailed guideline for the benefit
outsourced activities, for providing services shall be within the scope of work and under the rules as prescribed in this Notification. Clause 4 The SEC Office may announce a detailed guideline for the benefit
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives