supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
of the jurisdiction wherein foreign regulator under (4) is located; (3) Evidence that units of foreign ETF are traded on home exchange which is a member of the World Federation of Exchanges (WFE); (4
majority of the relevant governing body are non-practitioners (with an appropriate cooling off period for former auditors); and - Funding of the regulator is free of undue influence by the audit profession
Exchange Commission Governing Rules, Conditions and Procedures for Appointment and Conduct of Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6) and Clause 20
of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
compliance with this Notification and the governing laws or associated regulations. Clause 6 The SEC Office shall have the authority to revoke an approval in the following conditions: (1) the provision of
an approved person is in compliance with this Notification and the governing laws or associated regulations. Clause 5 The SEC Office shall have the authority to revoke an approval in the following