audit firms in the capital market, requesting their cooperation in giving more importance to a strict audit quality control system with regard to protection of clients’ confidentiality. The SEC will
, the institutional investors this year pushed for more concrete cooperation in determining proxy voting guidelines to promote good corporate governance, corporate social responsibility and anti
;Understanding Concerning Consultation and Cooperation and the Exchange of Information (MMOU) “หน่วย” หมายความว่า หลักทรัพย์
Recognition of Covered Funds and Covered Management Companies and related Cooperation ซึ่งเปิดเผยไว้บนเว็บไซต์ของสำนักงาน หมวด 1
(1) กองทุนรวมต้องมีลักษณะเป็นไปตาม Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds Passport (“MOC”) (2) บลจ. ได้
. Due to the branch closure according to government policy with the company focusing more on online sales. Including sales through other channels under the cooperation of the group companies such as
a representation given in accordance with the rules specified in the notification of the SEC Office. (5) In cases where derivatives broker engage as a counter party in a derivatives trading with the
already specified, except for a representation given in accordance with the rules specified in the notification of the SEC Office. (5) In cases where derivatives broker engage as a counter party in a
investment or represent that there shall no loss on investment at any fixed rate, with the exception of a representation given in accordance with the criteria prescribed and notified by the SEC Office; (5) in