products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause 57; (c) additional systems as stipulated by other notifications. In
conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or
following specific services: (a) investment analysis for capital market products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause
consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and
of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling
” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the
the People's Republic of China and Thailand We would like to bring your attention to the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining