brokerage, securities dealing or underwriting of investment units All mutual fund supervisors No. SEC. Nor Jor. (Wor) 1/2564 Re: Mutual Recognition of Funds between Hong Kong Special Administrative Region of
business value chain 3.2.1 Business value chain Describe the characteristics of the business value chain that show the relationship of the key stakeholders with the activities related to business operation
person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately
เกี่ยวข้อง เช่น - การเข้าโครงการ Accelerator, Incubator - การเข้าโครงการ FinTech Challenge - อื่น ๆ (โปรดระบุ) สมาชิกในเครือข่าย หรือความร่วมมือกับองค์กรต่าง ๆ ที่เกี่ยวข้องกับ area ในการทดสอบ ผังโครงสร้าง
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
) Since the 1 July 2002: for all types of debt securities with a service area of Bangkok and surrounding, except the service as specified in (2). (2) Since the 31 March 2003: for debt securities in the
Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF ( Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
use to provide service and store document; (2) arrange to have a notice board, which can clearly be seen, indicating the nature of services to be provided on the area under (1). Clause 9. The branch
) separating area for communication with or providing services to a client from other business area particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel