prepared in accordance with the format and contents provided herein . On-going requirements of CIS Operator The followings are on-going requirements for CIS Operator who makes offerings of either
authorization. Under the ARFP framework, efforts are made to unify the mutual entry processes for funds that are managed in accordance with the ARFP rules agreed upon among the relevant regulators of the
dealer means a person who provides services or holds itself out to the public as available to provide services with respect to the trading or exchange of digital assets for its own account in the normal
total income of the aggregate entity. Investment categories An IFF can choose to invest in following categories as deemed appropriate: direct investment with ownership in the assets: suitable for
) Facebook 5stepstoinvest (Thai Version) Regulatory Summary Qualifications 1. A juristic person with a license for operating securities or derivatives businesses 2. In readiness for providing
in the applications, filings, reports and all document submitted to the SEC. Scope of works 1. Issuance and Offering for Sale of Securities Working with issuers of securities in preparing and
for clients' assets: an audit committee with a minimum of two members is mandatory. Securities companies without custody services for clients' assets: arrangements for any mechanisms or undertakings in
and conditions and a Sukuk trustee appointment agreement (in case of secured Sukuk/ Sukuk with a Sukuk trustee). (original requirements) - Application shall be submitted for an approval. The
with the CFA Institute and the CFA Society Thailand on “Guidelines for ESG Integration in Equity Analysis and Presentation in Analyst Research Reports” for capital market professionals i.e., securities
change of the agent to collect and receive payments of debt in accordance with Paragraph 2 of Section 15 of the SPV Act. This would allow the private sector clear and common guidelines for notifying facts