securities brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “ agent ” means a person who is appointed by a securities
brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its
. Most of the respondents expressed agreement with the principle proposed.Therefore, SEC has drafted a notification requiring asset management companies and trust managers which make a projection of
สนับสนุนการเสนอขายกองทุนไทยในยุโรปภายใต้กรอบความร่วมมือ Alternative Investment Fund Managers Directive (AIFMD) ซึ่ง ก.ล.ต. ได้เข้าร่วมลงนามในบันทึกความเข้าใจ (MOU) กับองค์กรกำกับดูแลตลาดทุนของประเทศสมาชิก
Securities and Exchange Commission Re: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor; (3) derivatives fund managers; and (4) derivatives advisors
Securities and Exchange Commission No. Sor Shor. 26/2558 Re: Rules, Conditions, and Procedure for Granting Approval of Trust Managers of Infrastructure Investment Trusts and Operating Standards
distribution for investors and issuers respectively. The framework enables fund managers operating in a member jurisdiction to offer a CIS constituted and authorised in that jurisdiction to retail investors
during July 2009 until now, {X1} Co., Ltd. has falsely represented to the general public by advertising the company on the webboard relating to investment and on the website as gold futures trading agent