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
Enterprise’s commitment to contributing positively to sustainable development and the SDGs is reinforced through its governance practices. Practice Indicators: 4.1 The Enterprise’s governing body has active
• 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
certificate of registration, license or authority of the Recognized Representative issued by the Home Regulator; ii. Certificate of good standing issued by the Home Regulator; iii. Endorsement by the attached
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
Bangkok, May 15, 2014 ? The SEC in cooperation with audit regulators in ASEAN countries host the ASEAN Audit Regulators Group (AARG) Meeting on May 15-16, 2014 in Bangkok. Auditors from the world?s
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by
/are under supervision of Home Regulator which has the authority to impose sanctions or to order the CIS Operator of the ARFP Passport Fund to act or refrain from acting in case there is an action which
authorized by the regulator having authority to regulate such scheme. Clause 2 This Notification shall come into force as from 16 January 2013. Notified this 21th day of November 2008. -signature- (Chaikasem