by the Office. 2. Scope of activities The scope of activities must relate to the skills and knowledge useful for performance of duties as investor contact including: 2.1 Business-related knowledge e.g

shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the

trading by minimum disclosure of the following information: (1) information relating to the financial status, credibility and scope of the derivatives dealer ’s business; (2) detailed information pertaining

4. Other objectives, e.g., capital for business cashflow Remarks : 1. Disclose the spending estimate classified by objectives, which may be done in the form of appropriate spending range, in the order

RISK SPECTRUM ของประเภทตราสารที่ลงทุน ความเสี่ยง/มีความซับซ้อนต่ำ ความเสี่ยง/มีความซับซ้อนสูง กองทุนรวม กองทุนรวม กองทุนรวม กองทุนรวม กองทุนรวมผสม กองทุนรวม กองทุนรวม กองทุนรวมที่ลงทุนใน ตลาดเงิน

disclosed in a range deemed appropriate, as well as, the order of priority of such purposes. If the anticipated proceeds will not be sufficient to fund all the proposes, the amount and sources of other funds

receiving requisition of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the

of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the appointment to be

to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for

. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to