establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
. Clause 6. Prior to agreeing to provide selling agent service for units of foreign collective investment scheme, securities company shall arrange to have agreement in writing with person responsible for
be a qualified person with independence, objectivity and required competency; (3) Update the requirements per current standards and guidelines to be in alignment with international standards and other
securities business in the following categories: (1) mutual fund management; (2) private fund management; or (3) brokerage, dealing or underwriting, excluding brokerage, dealing or underwriting limited to debt
? to AI and the summarized significant features of securities (fact sheet) must specify that the product is allowed to offer to AI only. In addition, asset management company will be allowed to establish
select the provident fund with good management, which will be qualified by various factors, including good governance in investment, the standard of control and management of investment, the roles of
, investors do not need to go to a branch of the service provider to fill in the same information set in person. This is another step towards digital transformation of the capital market. The single form helps
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
fund of person in sub clause (1) or (2) above, but not including any provident fund. “conflict person” means the following persons: (1) REIT manager; (2) director, executive, authorized management person