● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full name of the investment consultant. ● Name of Securities/derivatives intermediary or the
assets, and other assets of essentially the same nature; Loan participations; Loan assignments; Credit derivatives for non-hedging purposes i.e. protection seller CDS; Please note that this is a non
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As
i.e. protection seller CDS; Please note that this is a non-exhaustive list of restricted assets. Hong Kong Covered Management Companies are encouraged to consult the SFC if in doubt on any issues. (As
acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing and settlement in all trading transactions which have occured. If one of the counterparties does not perform
acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing and settlement in all trading transactions which have occured. If one of the counterparties does not perform
Company which listed companies hold > 50 percent shares Other public company limited (approval conditions will be simple which only require the decision of the shareholders' meeting, without having to
(Thai version only) Policy (Thai version only) Report (Thai version only) 13. Merchant Partners Asset Management Limited 27 June 2017 Signatory Declaration (Thai version only) Policy (Thai version
(Thai version only) Policy (Thai version only) Report (Thai version only) 13. Merchant Partners Asset Management Limited 27 June 2017 Signatory Declaration (Thai version only) Policy (Thai version
มาตรการ/กฎเกณฑ์ดังกล่าวจะสามารถนำไปสู่ผลที่คาดหวังได้ (สมผล) รวมทั้งมีการทบทวนความเหมาะสมของมาตรการ/กฎเกณฑ์ดังกล่าวเป็นระยะ ๆ ด้วย 6. ชัดเจน ปฏิบัติได้ (Clear, Simple, and Practical for Users) ก.ล.ต. จะ