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
storage of information concerning their business operation can proceed normally. Clause 28 Derivatives clearing houses shall establish rules or regulations which allow for exchange of information on
) 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
cannot function properly so that the management and storage of information concerning their business operation can proceed normally. Clause 18 Securities clearing houses and central securities depositories
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...
end, the market must have strong fundamentals in that transactions in the market must proceed with efficiency and fairness through intermediaries that provide quality services, and that users of the
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
to shareholders, warrant holders and investors ● Supervised listed companies, securities companies and asset management companies including persons in direct contact with investors to ensure their
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