for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper
, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the
conformity to be deemed as compliance with the relevant regulations under this Notification; (3) require derivatives exchanges to submit reports or any particular documents to the SEC Office periodically or
Notification; (3) to allow the SEC Office to ensure compliance with this Notification, require securities clearing houses and central securities depositories to submit to the SEC Office reports or any particular
The evaluation of the legal effectiveness of the Emergency Decree is due under the Act on Legislative Drafting and Evaluation of Law B.E. 2562 (2019) (“the 2019 Act”), which requires that government
Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the
Notification of the Capital Market Supervisory Board concerning Personnel in the Capital Market Business. Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and
quality control systems. Of the total 32 audit firms, 53 percent received the Good to Very Good evaluation results – an improvement from 48 percent in 2019 and from 51 percent in 2020. In addition, seven
based on existing key principles aiming to ensure that (i) retail fund?s investment units will be allocated to general investors; (ii) retail fund will not be used to seek undue benefit for any particular