Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
Covered Funds and Covered Management Companies and related Cooperation Dated 20 January 2021 This MoU has been concluded between the SFC and the SEC in light of global financial market growth and increasing
Covered Funds and Covered Management Companies and related Cooperation (“MoU”)? Yes No If “No”, please specify _____________________________________________________
licensed or regulated by the SEC Thailand : Management company Licensed bank/ Financial institution Licensed securities company Licensed institution/ Corporation/ Organisation (e.g. insurance company) Other
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
the characteristics specified in the governing rules. For example: - The Hong Kong Covered Management Company is regulated by the Securities and Futures Commission of Hong Kong (SFC), which is the home
Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69
. Credit Rating 1. Provide information about the credit rating that has been given to the issuer or the issue upon the request or with the cooperation of the issuer, including name of the credit rating
towards greater capital markets integration. The ACMF supports greater cooperation in facilitating mobility of ASEAN capital market professionals to allow investors to have easy access to information and
in raising funds for both public and private sectors, thanks in large part to the cooperation among the SEC, capital market organizations and listed firms in underlining the importance and