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
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
exchange; (4) “executive” means manager or any person determined by home exchange or home regulator as “executive”; (5) “home regulator” means the regulator of capital market where units of foreign ETFs are
Stock Exchange of Thailand (SET). In case where irregular trading is found, the SET as a front-line regulator will refer the case to the SEC for further investigation. At present, a number of cases
record any corporate’s personal data processing activities both in a hard copy or an electronics systemSEC Secretary-General Ruenvadee Suwanmongkol, said “SEC, as a capital market regulator, expects
. Sou Socheat, Director General of the Securities and Exchange Regulator of Cambodia (SERC), and Mr. Siosavath Thirakul, Deputy Secretary General of the Laos Securities Commission Office (LSCO), gave
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
“home regulator” shall have the same definitions as specified in the Notification of the Capital Market Supervisory Board concerning Provisions relating to Offering for Sale of Units of Foreign Collective
No. TorThor. 8/2551 Re: Rules, Conditions and Procedures relating to Applying for and Permission of Establishing Branch Offices of Securities Company dated 2 April 2008; (2) Notification of the Capital