generally for the implementation of the provisions of this Act. In order to implement the first paragraph, the Minister may entrust any governmental agency under his supervision to carry out duties on his
เทศ หน่วยงาน วันที่ 1. Austria Financial Market Authority 22 กรกฎาคม 2556 2. Bulgaria Financial Supervision Commission 22 กรกฎาคม 2556 3. Cyprus Cyprus Securities and Exchange Commission 22 กรกฎาคม
Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision Department Tel. 0-2263-6071 Fax. 0-2263-6332
Phuvanatnaranubala) Secretary-General Enclosure: The Office’s Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for the Renewal of Approval for Investor Contacts dated 12 June 2007. Investment Advisor Supervision
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