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
), Iglesias, Sauquet, and Montana (2011), Mueller (2012), and Han (2012). 9 SEC Classification : ใชภ้ายใน (Internal) improve the functioning of the board as a corporate governance mechanism. With better board
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
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
functioning of internal control as intended. Questions Yes No 13.1 The company specifies information required for business operations. The information should be from both internal and external sources, which
the capital market were taken care of to ensure that they would be able to continue functioning seamlessly. In this regard, building a quality financial reporting system in compliance with international
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
approval of fund managers to invest in futures products ● Coordinated with the Revenue Department to solve the tax issues associated with the functioning of the futures exchange operating mechanism K ey A ch
-functioning capital markets, the SEC places considerable emphasis on ensuring the transparency, fairness and integrity of the Thai capital market. Implementation took on many levels, ranging from regulatory
functioning of the financial markets. (i) “Enforcement Purpose(s)” means a purpose referred to in Paragraph 10(a) of the IOSCO MMoU. (j) “Hong Kong” means the Hong Kong Special Administrative Region of the