client assets and the system . The calculation is as follows : NCR = Liquid Assets (risk adjusted) - Total Liabilities General Liagilites + Margin Requirement In case of shortfall, the operator is
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two parts. The first part prescribes the Qualifications of the CIS Operator, Trustee/Fund Supervisor, and requirements relating to Approval, Valuation, and Operational Matter. The second part prescribes
only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting documentation as specified in Form 35 – foreign ETF to the SEC Thailand for the
Regulatory Summary Required documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting
forth by the SEC Board and supervise compliance and enforcement of the securities laws. The SEC Office is headed by Secretary-General who is appointed by the Cabinet upon the Minister of Finance’s
FAQs List of approved ASEAN CIS Regulatory Summary Standard of Qualifying CIS Standards of Qualifying CIS consist of two parts. The first part prescribes the Qualifications of the CIS Operator