of Professionals undertaking the activity of investment advice from Home Jurisdiction to Host Jurisdiction within ASEAN region. A significant measure set out in this framework is providing “ACMF Pass
Complex Type 1 Investment Consultant
Delivery of Notifications and Clarification Notes
Investment in Unit of Real Estate Investment Trust
Guidelines Regarding Roles and Expectations of Directors of Securities Companies and Derivatives Business Operators
Investor Code Working Group, which comprises the representatives from the SEC and the AIMC, is preparing the Code to be used as a framework for laying out policies and guidelines for operating business based
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
Submission of Daily Status Report
Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand