MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while

title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories

where the claimant does not make correction or addition within such period of time, it shall be deemed that the claimant no longer intends to proceed the arbitral process and the Office shall terminate

broker intends to share the branch manager with other full-service branch offices such derivatives broker shall submit the application together with document evidence showing the details of plans for

thereunder. Clause 4 In the case a derivatives business operator intends to submit the financial statements under Clause 3 to the SEC Office in an electronic form, the derivatives business operator shall

of persons having the following qualifications intends to apply for a license under regulatory sandbox , the group of persons shall submit an application form under the regulatory sandbox to the SEC

is granted prior to making such transaction. Nevertheless, this provision does not include the case where the mutual fund intends to purchase shares of the mutual fund management company, which is

have contact persons with investors, subject to approval of the Office, to sell investment units or to solicit customers or to prepare investment plans for customers. Any person so approved by the Office

counter party in a derivatives contract with any person who intends to trade in derivatives, by entering or offering to enter into such contract, and has been licensed or registered under this Act

company intends to submit to the SEC Office the financial statements in Clause 4 in the electronic form, the securities company shall submit the financial statements through the securities company reporting