Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both
” means association related to securities business authorized from the Office to establish and register with its objective to support and develop securities business in the category of investment management
Establishment of Company under the law of the jurisdiction where such foreign ETF is established – in case of foreign ETF established by an investment company; or [ ] (b) Trust Instrument or Trust Agreement – in
Derivatives Brokerage ________________ Clause 17 In providing the derivatives brokerage service, the derivatives broker shall enter into a written agreement with the client who has assigned the derivatives
for selecting an analysis/a research to support an investment decision. (4) Prescription of criteria in selecting each asset/group of asset to be actively or passively* invested in order to reduce risk