foreign collective investment scheme. “home regulator” means a supervisory agency of an ASEAN country which has the authority to supervise a foreign collective investment schemes or CIS operator. “brokerage
foreign collective investment scheme. “home regulator” means a supervisory agency of an ASEAN country which has the authority to supervise a foreign collective investment schemes or CIS operator. “brokerage
Malaysia, the Monetary Authority of Singapore and the Securities and Exchange Commission, Thailand in October 2013.This Framework allows fund managers operating in a member jurisdiction to offer CIS
Malaysia, the Monetary Authority of Singapore and the Securities and Exchange Commission, Thailand in October 2013.This Framework allows fund managers operating in a member jurisdiction to offer CIS
Program From Global Commitment to Local Action 23 “ ” WORKING TOGETHER (TCMA – TCA - GCCA) Review data & assumptions (in consultation with GCCA and ECRA) - PROCESS -- OUR COMMITMENT - ▪ Draft roadmap
firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS
of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the
organizational structure and indicate whether there are INEs at the global, regional or local level. B6 Whether the firm has designated a Quality Management (QM) partner who takes responsibility for the firm’s
investment scheme. “home regulator” means a regulator who has the authority to supervise collective investment schemes or CIS operators. “securities company” means a securities company that obtains the
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a