licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
. 2546 (2003). “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish
Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval process, and other requirements 12 Appendix 1: Recognised ACMF member countries for ACMF Pass framework 13
(effective on 1 January 2018). 2 “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval
budget of Baht 2,075,000, in accordance with the recommendation by The Audit Committee, as follows : 1. Mr. Manoon Manusook certified public accountant registration no. 4292 and/or 2. Mr. Choopong
________________________ By virtue of Paragraph 1 of Section 109 and Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535 (1992), with the approval of the Capital Market Supservisory Board, Section19
to undertake securities business under the first paragraph may be commenced after having been given an approval of the Minister upon the recommendation of the SEC. A merger of securities companies
service; (4) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon recommendation of the SEC
Prospectus as meeting the standards of completeness, comprehensibility and consistency imposed by the Prospectus Regulation. Approval by the CSSF should not be considered as an endorsement of the Issuer or the