, finance company, securities company (broker/dealer/TSFC) or a foreign financial institution with credit ratings in the first four categories by an approved credit rating agency. (4.2) Exchange traded funds
, finance company, securities company (broker/dealer/TSFC) or a foreign financial institution with credit ratings in the first four categories by an approved credit rating agency. (4.2) Exchange traded funds
, securities business operator, derivatives business operator, financial advisor, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business
credit rating agency. This is to allow the investors to have information on the financial position and repayment capability of the issuers when they make an investment decision. The credit rating of the
company shall propose an investment policy appropriate for the clients after an assessment of their investment objective, investment experiences, financial status, financial obligations, investment
company shall propose an investment policy appropriate for the clients after an assessment of their investment objective, investment experiences, financial status, financial obligations, investment
offering of bonds [2] only. - Application shall be submitted for an approval. The following qualifications will be considered: 1. Financial statements shall be prepared in accordance with the financial
) finance company under law on undertakings of finance business, securities business and credit foncier business; (c) securities company under law on securities and exchange but not include securities
business and credit foncier business; (3) securities company under the law on securities and exchange ; (4) life insurance company under the law on life insurance; (5) financial institution set up under
an offer for sale of REIT units A REIT Manager (RM) has the duty to file an application for offer for sale of units. A Financial Advisor (FA)* is required to jointly submit the application and