University INTRODUCTION • What is the effect of regulatory jurisdiction on the behavior of financial actors? Specifically, investment adviser misconduct? • Setting: Dodd-Fank re-jurisdicts “mid-size” RIAs in
Appendix 2: National regulations Information on the laws and regulations relevant to performance of duty as Recognised Representative in each Host Jurisdiction 14 3 1. Introduction 1.1 Background Mobility of
Securities in jurisdictions which are signatories to the MOU, in order to foster ASEAN capital markets integration. Under the proposed Framework, the review process for a multi-jurisdiction offering of Equity
Collective Investment Schemes (CIS) Framework. The Framework enables fund managers operating in one jurisdiction to offer funds constituted and approved in that jurisdiction to retail investors in the other
certified by all directors. In addition, an executive summary must also be distributed to investors together with a subscription form. The ACMF framework refers to the multi-jurisdiction offering of equities
Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that NRI CIS is legally established under the law of
: _____________________________________________________ Home Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that NRI CIS is legally established
holder representative will be permitted if home jurisdiction is a signatory of ACMF MoU, currently comprising Malaysia, Singapore and Thailand. Thai issuers planning to offer debt securities in various
of foreign jurisdiction in form of public limited company; (2) Business takeover of foreign ETF under (1). Clause 2 In this Notification: (1) “foreign ETF” means collective investment scheme in