International Organization of Securities Commission (IOSCO) and shall be a party of Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (MMOU) in type
opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and
the People's Republic of China and Thailand We would like to bring your attention to the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each or overall capital market products ; (2) the
ประเภท signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (MMOU) “หน่วย” หมายความว่า หลักทรัพย์ประเภทหุ้นของบริษัท (investment
ความร่วมมือภายในกลุ่มประเทศอาเซียน (MEMORANDUM OF UNDERSTANDING ON THE ACMF PASS UNDER ASEAN CAPITAL MARKET PROFESSIONAL MOBILITY FRAMEWORK) (ก) หุ้นที่เป็นหลักทรัพย์จดทะเบียนในตลาดหลักทรัพย์ประเทศ
notification of the Capital Market Supervisory Board, irrespective of whether such power arises from any agreement, understanding, relationship or else, and whether such power arises from the acquisition or
the English version for clearer understanding only. Amended by the Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 49/2558 Re: Approval of Personnel in the