granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
Subj: Establishment of representative office abroad The applicant hereby notifies the establishment of a representative office abroad with details as follows: 1. Address
establishment of an association related to securities business to the SEC Office as per the Form specified by the SEC Office, together with the following evidentiary documentation: (1) the regulations of the
. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of
institutional or ultra-high net worth investors in accordance with the Notification of the Capital Market Supervisory Board Re: Rules, Conditions and Procedures for Establishment and Management of Mutual Funds
. กองทุนรวม กองทุนสำรองเลี้ยงชีพ และกองทุนส่วนบุคคลรายย่อย 1.1 investment grade · ไม่เกินร้อยละ 20 ของ NAV 1.2 ต่ำกว่า investment grade หรือไม่มี rating · ไม่เกินร้อยละ 5 ของ NAV · เมื่อคำนวณรวมการลงทุน ดัง
ค้ำประกันต้องได้รับ rating ในระดับ investment grade จากสถาบันจัดอันดับความน่าเชื่อถือต่างประเทศภายใต้ชื่อ Standard & Poor, Moody’s, Fitch หรือที่สำนักงานกำหนดเพิ่มเติม และต้องเป็นการค้ำ ประกันแบบไม่มี
Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first
securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of
(6) as amended by the Notification of the Office of the Securities and Exchange Commission No. KorNor. 1/2550 Re: Rules, Conditions and Procedures for Establishment and Management of Funds (No. 4