supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “financial institution” means a financial institution under the Interest on
long term for the benefit of beneficiaries or clients. The over-arching obligation of every investment institution is to promote and safeguard the interests of beneficiaries or clients. This is often
application to the SEC Office as prescribed in Chapter 1. In case the Institution of Appraisal Profession has already been established as prescribed in Clause 17, the approval and the extension of the approval
” means a company under Section 4 [of the Securities and Exchange Act B.E.2535 (1992)] established under foreign law. “financial institution” means: (1) a commercial bank, finance company or credit foncier
to get thorough understanding; taking actions to ensure that the information furnished in the tender offer are correct, complete, not misleading to the users of the information, and that no information
to get thorough understanding; taking actions to ensure that the information furnished in the tender offer are correct, complete, not misleading to the users of the information, and that no information
Institution; (5) the Notification of the Capital Market Supervisory Board concerning Provisions relating to Offer for Sale of Shares Issued by Foreign Company of which Shares are not Traded in Foreign
Newly Issued Debentures in the Category of Structured Note or Debentures Imposing Obligation on Debenture Holder which are Issued by Financial Institution; (5) the Notification of the Capital Market
Debentures in the Category of Structured Note or Debentures Imposing Obligation on Debenture Holder which are Issued by Financial Institution; (5) the Notification of the Capital Market Supervisory Board
Covered Fund in Hong Kong satisfied those stipulated in Appendix B-II-SEC Circular of the Memorandum of Understanding between the Securities and Futures Commission of Hong Kong and the Securities and