: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
เข้าประชุมเพื่อขอรับฟังความคิดเห็น เรื่อง แบบรายงานธุรกรรมด้านหลักทรัพย์และสัญญาซื้อขายล่วงหน้า เมื่อวันที่ 18 มกราคม 2551 โดยกำหนดให้ส่งแบบรายงานการประกอบธุรกิจ (Activities Report) ต่อสำนักงานเป็นราย
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
subsidiaries operating the core businesses and other oversight guidelines for activities such as approval of increase or reduction of capital and dissolution of subsidiaries, etc. In case of a holding company
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
appraisal system are according to international practice; 3. Being an international asset appraisal firm with an extensive international network. 6. Future plan In the case where the Company or the subsidiary
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities