PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information. “unit” means securities in the category of shares of investment company or trust certificates of
Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information. “unit” means securities in the category of shares of investment company or trust certificates of
: 1. I/We am/are under supervision of Home Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which
procurement of benefit 3. Market overview of the business of procuring benefits from REIT’s assets 4. Risk factors 5. Legal disputes 6. Other relevant information Part 3: REIT Supervision and Management 7
which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management to make the management that
and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management to make the
benefits of the capital market. Expectations include: Provide opportunities for businesses to operate independently with an effective supervision system in place to ensure an orderly market; Be
Memorandum of Understanding (MoU) between the Securities and Futures Commission of Hong Kong (SFC) and the Securities and Exchange Commission of Thailand (SEC) Concerning Mutual Recognition of
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and