changes in the digital age,” added SEC Secretary-General. In addition, the DGA will render cooperation with regard to laying out strategies, policies and action plans, develop guidelines in accordance
collaboration on enforcement efficiency in the digital age extension would create credibility and confidence in the operation of business operators as well as the execution of transactions in the capital market
supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non https
supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non https
and Non-Retail Investors, and Execution of Agreements for Management of Private Funds. “foreign collective investment scheme” means ASEAN Collective Investment Scheme and APEC Asia Region Funds Passport
Legal Execution Department (LED) on its 49th Anniversary. Mr. Seaksan Suksang (second right), Inspector General of the Ministry of Justice, acting on behalf of the LED Director General, and Ms. Niramon
Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of
the ARFP project and its development, please click here . Regulatory Summary Related Manuals/Guidelines Related Rules and Regulations Related Forms List of approved ARFP Passport Funds
Manuals/Guidelines Related Rules and Regulations Related Forms List of approved ARFP Passport Funds Regulatory Summary Required documents for an approval of ARFP Passport Funds (for inbound only) A
Summary Related Manuals/Guidelines Related Rules and Regulations Related Forms FAQs List of approved ASEAN CIS Regulatory Summary Standard of Qualifying CIS Standards of Qualifying CIS consist of