which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent
operator or derivatives business operator which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an
management system suitable for business types and risk profiles. However, a stricter work system than legally required is welcome as well.? As a frontline compliance supervisor, intermediaries are also
. Victor was then a UOB Kay Hian Co-CEO, a chief of institutional client unit and direct supervisor of the staffs providing services to institutional clients. Although, the Stock Exchange of Thailand
quarter ended 2019 and 2018 were Baht 34.03 million and Baht 27.49 million respectively. The increase of Baht 6.54 million was mainly a result of the sale expense (Freight and shipping cost, commission fee
quarter 2019 and 2018 were Baht 31.09 million and Baht 25.26 million respectively. The increase of Baht 5.83 million was mainly a result of the sale expense (Freight and shipping cost, commission fee) and
, “mutual fund supervisor” means the supervisor of a mutual fund; “scheme” means a mutual fund scheme; “investment unit value” is the net asset value divided by the total number of outstanding investment
_______________________________________________________________________ Part D: Trustee/ Fund Supervisor 22) Name of Trustee/ Fund Supervisor: _______________________________________________________________________ Address of registered office