supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
to shareholders, warrant holders and investors ● Supervised listed companies, securities companies and asset management companies including persons in direct contact with investors to ensure their
challenge all of the three arbitrators in the claimant’s selected list because there is a circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
, fairness and impartiality. At the same time, alleged offenders of the securities law are always given opportunities to provide clarifications before legal action is taken. In many cases, committees
has arranged an efficient disclosure system to ensure that the material information on REIT has been disclosed correctly and completely, and REIT manager has supervised the compliance with such
Changes in Computer Systems relating to Trading Services with respect to Derivatives __________________ Clause 27 To ensure that the overall business operation of a derivatives exchange is supervised in an