appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as
securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of
this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of gold derivatives” means any person
its policies? Do professionals have access to guidance materials regarding the applicable independence? 6 Are ethics policies and procedures properly covered in induction, professional training and
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
outstanding shares are held by the company under (a); (c) Any company whose shares are held in continuous chain beginning from the company whose shares are held by the company under (b), provided that the
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
Business in the Category of Derivatives Brokerage Limited to Gold Derivatives dated 14 November 2008 shall be repealed. Clause 2 In this Notification: (1) “ precious metal derivatives brokerage ” means
Derivatives Brokerage Limited to Gold Derivatives dated 14 November 2008 shall be repealed. Clause 2 In this Notification: (1) “ precious metal derivatives brokerage ” means derivatives business in the category