the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to

customer and obtain the customer’s signature of acknowledgment of the risks which may arise from a short sale; (2) arrange for the customer to short sell through a margin account and call for collateral

other law from such acceptance of selling orders or closing out of positions. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ________________________ Division 1 General

No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be

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

informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance

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

shall perform only the following duties: (1) acceptance of request from customer to open an account so as to forward the request to a branch office or head office for approval; (2) acceptance of purchase