with the requirements under this Notification; (4) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to
) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to comply with requirements of this Notification; (5
) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to comply with requirements of this Notification; (5
งานที่เกี่ยวข้องกับการซื้อขายหน่วยลงทุนและการจัดการกองทุน ฝ่ายกำกับธุรกิจจัดการลงทุน - Login/Password + OTP สน. 55/2559 12 0-2263-6043 mutta@sec.or.th ES00506 รายงาน Passive Breach ของ MF ที่ไม่ใช่ MMF
__________________________________________________ _____________________________________________________________________ 3. I/We have not had any record of violation of the laws or regulations of Home Economy in matters relating to the disclosure of
, the applicant shall have no record of violation of the law governing the undertaking of its business, other laws relating to financial business and concerning unfair securities trading, fraudulent or
granted, the applicant shall have no record of violation of the law governing the undertaking of its business, other laws relating to financial business and concerning unfair securities trading, fraudulent
__________________________________________________ _____________________________________________________________________ Page 8 of 9 Form 35 – ARFP CIS 3. I/We have not had any record of violation of the laws or regulations of Home Economy in
_____________________________________________________________________ 3. I/We have not had any record of violation of the laws or regulations of Hong Kong in matters relating to the disclosure of material information to the investors of the Hong Kong Covered Fund or
__________________________________________________ _____________________________________________________________________ 3. I/We have not had any record of violation of the laws or regulations of Hong Kong in matters relating to the disclosure of