number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
any person to subscribe or purchase the securities issued or offered for sale by the issuer or the seller. “company” 4 means any limited company, public limited company and shall include : (1) public
support the offerings of Hong Kong funds, including Exchange Traded Fund (ETF), in Thailand. In this regard, the SEC plans to conduct a public hearing on the proposed revisions and will clarify the
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
offering, or the rules, conditions and procedures for share offering of a limited company in accordance with the Civil and Commercial Code in a general case or to the general public, as the case may be. In
BUSINESS SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an individual, and shall be allowed to undertake a
Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy
such mufti-infrastructure businesses. (5) “ company ” means a limited company or a public limited company; (6) “ alternative energy ” means a business that generates energy from non-depletable energy
which has similar supervision to that of the Office; (6) “Company” means any limited company or public limited company; (7) “Holding company” means any company undertaking core business in holding shares
_______________________________________________________________________ 12) Number of years the Hong Kong Covered Management Company has been responsible for the operation of financial asset CIS that are offered to the general public: _______________ Total assets under