Thailand Concerning Mutual Recognition of Covered Funds and Covered Management Companies and related Cooperation (“HK-TH MRF MoU”) on 20 January 2021. To ensure that business operators have the same
prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary
Fund or CISs in Home Economy satisfied those stipulated in section 17 of the Passport Rules (Annex 3) of the Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds
marketing officer [A] 2. Damage Prevention 2.1 Fire Prevention system · Providing an alarm device such as smoke detector, heat detector etc. in order to prevent or suppress fire immediately. [M] · The
Exchange Commission of Thailand Concerning Mutual Recognition of Covered Funds and Covered Management Companies and related Cooperation (“MoU”)? Yes No If “No”, please specify
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
the benefit of compliance with the requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be
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
member country executing the Memorandum of Understanding Concerning Cooperation and Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the