.__________________________ Remark: * Insurance companies mean life insurance companies and non-insurance companies, excluding local branches of foreign life insurance companies and foreign non-life insurance
trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
Settlement Services with respect to Derivatives __________________ Clause 38 To ensure that the overall business operation of derivatives clearing houses is supervised in an orderly, effective, and timely
the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) shall mean the manager or the next four executives succeeding the manager, the
unit holders.Furthermore, SEC will launch an online submission channel for the convenience of the business providers rather than the usual CD submission, as well as a mean to alleviate burdens and the
__________________ Clause 28 To ensure that the overall business operation of securities clearing houses and central securities depositories is supervised in an orderly, effective, and timely manner, securities
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
liabilities ” means total liabilities deducted by qualified liabilities . “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not including the following liabilities: (a
liabilities” means total liabilities deducted by qualified liabilities. “total liabilities” mean: (1) all liabilities shown in the financial statement but not including the following liabilities: (a