equivalent position called otherwise, and such person shall be responsible for a line of work relating to securities services, securities operation, supervision of securities operation, or research on
operation, supervision of derivatives operation, or research on derivatives, or other similar lines of work regardless of the fact that such function provides services for other persons or for the benefit of
) Evidence that foreign ETF and foreign ETF operator are subject to supervision of foreign regulator who is a member of the International Organization of Securities Commissions (IOSCO); (5) Certification that
: ✓ is licensed or otherwise authorised to conduct the relevant financial advisory services in a participating ASEAN country, and is subject to supervision by the regulatory authority in that country
this regard, the SEC Office shall deliberate the appropriateness under the following rules: (1) having explicit policy and objective in respect of member supervision and promotion of the appraisal
on the topic, “A New Age of Fundraising,” emphasizing the role of SEC in creating opportunities for businesses of all sizes to access sources of fund, while the disclosure-based supervision will not
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Part F: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the authority
holding or resuming the position of director, manager, person with the managerial power, or advisor to a financial institution on the ground of having prohibited characteristics under the Law on Supervision
banned under the law on Supervision of Financial Institutions, either Thai or foreign law, provided that such prohibited characteristics are related to corruption, fraud / managing work in violation of law