supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision

) specify operation and issue that REIT manager has monitored property manager’s operation e.g. approval consideration of REIT annual budget, revenue and expenditure control which should be correspond to

surveillance systems reviewed, monitored, and examined, according to an examination plan specifically designed to suit the level of risks for the derivatives exchange, by an independent person with required

authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's

Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator

clearing house shall take the following actions: (1) have the steps or procedures concerning computer systems relating to derivatives clearing and settlement services reviewed, monitored, and examined

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. SEC Classification : ใชภ้ายใน (Internal) FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note: This annual registration s...

, settlement, and depository services with respect to securities reviewed, monitored, and examined, according to an examination plan specifically designed to suit the level of risks for the particular

place before the license holder is allowed to commence business operation which will be supervised on a continuing basis. This is to ensure that business operators are able to comply with relevant

standards should be overseen by bodies independent of the pro- fession. Recommendations:  Asian Roundtable economies should work towards convergence with high quality internationally recognised standards and