education, experience, investment goals, investment conditions and restrictions. It is important for investment consultants to exercise due care and clearly explain risk factors involved in mutual fund
transaction is considered a connected transaction. The transaction is also considered a significant asset acquisition due to its value of over 50 percent of WAVE total assets. Accordingly, WAVE is required to
“Responsible Business Conduct: Respecting Human Rights through Due Diligence and Way Forward” โดยนางสาวรื่นวดี สุวรรณมงคล เลขาธิการ ก.ล.ต. กล่าวต้อนรับและกล่าวถึงความเป็นมา และผู้ช่วยศาสตราจารย์ ดร.ปารีณา ศรี
(infrastructure trust) ซึ่งมีลักษณะคล้ายกัน ทั้งนี้ ให้สอดคล้องกับบริบทของ infra-backed ICO โดยครอบคลุมเรื่องการกำหนดลักษณะของทรัพย์สินอ้างอิง ข้อกำหนดเกี่ยวกับการตรวจสอบและสอบทาน (due diligence) และการประเมิน
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
, permissible to be offered to institutional investors and high net worth investors, either directly or through intermediaries. Due to the instruments? characteristics of high risk and complexity, the investment
warning to the client about material information which is likely to affect the client?s benefits was considered failure to perform the duties with responsibility and due care as market professionals under
for investment in securities and derivatives. The said actions were done under the name ?Nateethong? through the web blog: URL http://nateethong.bloggang.com. Due to the fact that Yuttana was neither
announced in due course. To increase choices of offer for sale of structured products, the SEC has issued rules to facilitate issuance of debentures with complex features apart from the already governed
will be announced in due course. To increase choices of offer for sale of structured products, the SEC has issued rules to facilitate issuance of debentures with complex features apart from the already