has revised such regulations for the business providers to be able to mandate their operation to outsourcee with proficient personnel and working system as business operators, but the operation must
Circular on Mutual Recognition of Funds between Hong Kong and Thailand issued by the SEC on 20 January 2021, as amended from time to time (“SEC Circular”). No. Question Answer Section A: Mutual Recognition
”)? Yes No If you answered “Yes” please skip to the question number 4.5 4.3 Is the audit oversight authority you registered with in the country that is recognised by the European Commission as equivalence
In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business
Passport (“MOC”)? ( Please tick if your answer to question 8 is “No”. ) Yes No If “No”, please specify _____________________________________________________
Passport (“MOC”)? (Please tick if your answer to question 8 is “No”.) Yes No If “No”, please specify _____________________________________________________
ZipUp+, which is the service of Zipmex Pte. Ltd, and gained benefits from digital asset exchange fees. Additionally, such operation of Zipmex had no measure to protect the conflict of interest and to
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:16 Funds/Trust Intermediaries Finance & Products Digital Asset Investors Office operation Important statistics
Mrs. Pattera Dilokrungthirapop Between 22 May 2019 and 12 June 2019, Mrs. Pattera Dilokrungthirapop, the Chief Executive Officer who is responsible for the operation of DBS Vickers Securities
Mr. Rapi Pinijchob On November 23, 2014, Mr. Rapi Pinijchob, the former managing director, responsible for the operation of Rasa Property Development Public Company Limited (“RASA”), disclosed false