, General Manager, Mars Wrigley Asia และ Ms. Chitra Hepburn, Managing Director and Head of ESG & Climate, APAC, MSCI เมื่อวันที่ 7 กันยายน 2565 ณ โรงแรม The Westin Singapore ประเทศสิงคโปร์รองเลขาธิการ ก.ล.ต
, investment analyst and investment planner, and at the amount of 10,000 baht in case of a fund manager. SEC has therefore proposed amendments to the regulations on supervision of capital market
ผ่านผู้ที่ได้รับอนุญาตประกอบธุรกิจผู้จัดการเงินทุนสินทรัพย์ดิจิทัล (Digital Asset Fund Manager) และ (2) กำหนดให้ผู้ประกอบธุรกิจสินทรัพย์ดิจิทัลต้องจัดให้มีการทดสอบความรู้ผู้ลงทุน (knowledge test) ก่อน
by requiring the auditors to obtain prior approval from SEC. In addition, the auditors must be associated with the audit firms recognized by SEC. The auditors, however, shall not be director, manager
channels to unitholders because the fund’s annual report has already been required to be sent to unitholders and published on asset management companies’ websites. Also, the rules on fund manager training
his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the
execution.The draft rules would grant a waiver of private fund license and derivatives fund manager license for both services above which would be considered incidental to brokerage. However, the intermediaries
According to the first paragraph of Section 23 of Provident Fund Act, when an employee’s membership terminates on a cause other than the dissolution of the fund, the fund manager shall make
securities transfer forms several times instead of the ones officially recorded on the client database, and affixed signature as branch manager to approve certain securities transfers.Phillip Securities
Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three other securities investment consultants at Central Chaengwattana branch, namely {B}, {C} and {D} (then