: ✓ is licensed or otherwise authorised to conduct the relevant financial advisory services in a participating ASEAN country, and is subject to supervision by the regulatory authority in that country
approved by the Office must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without
knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without any disgraceful record, and must
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
Malaysia, the Monetary Authority of Singapore and the Philippines Securities and Exchange Commission have signed a Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional
Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
, manager or person with managerial authority who is responsible for the applicant’s undertaking of securities business has qualifications and does not have any prohibited characteristics under Section 103
affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in the audit firm who has
and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business