instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds
Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. ** An investment consultant for complex instruments type 1 is allowed to give advice to
instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types, e.g., investment units of mutual
) Maturity term is no less than two years for a non-redeemable fund; unitholders cannot redeem units before maturity while auto redemption and additional subscription is allowed; (4) Investible high yield
._____________________________* Pursuant to SECTION 89/25, in auditing a securities company or a company in accordance with the auditing standards, either as the appointed auditor of such juristic person or as a person allowed
SEC would like to emphasize that digital asset businesses are regulated under the Digital Asset Business Emergency Decree. Only providers who have obtained relevant licenses under the law are allowed to
information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but
financial instruments or transactions. Additionally, the fund would be allowed to invest without single entity limit and concentration limit, with at least 10 unitholders.*** The management of the distressed
. ________________________________*SECTION 89/25. In auditing a securities company or a company in accordance with the auditing standards, either as the appointed auditor of such juristic person or as a person allowed to conduct
is not allowed. ? ________________________ *Clause 23(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital Market Personnel dated 3 June 2014