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
on suspicious unlicensed activities indicating that the aforesaid operators engaged in the business of managing funds for others or holding themselves out as derivatives fund manager and private fund
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
investment and management which is capable of managing REIT may seek an approval from the SEC to become a REIT manager. The SEC is currently in consultation with the Revenue Department on REIT tax regime to
และผลการดำเนินงานของทรัสต์ตามที่กฎหมายกำหนด ทั้งนี้ เพื่อให้หน้าที่และความรับผิดชอบของผู้ที่เกี่ยวข้องชัดเจนขึ้นสำหรับการเปิดเผยข้อมูลของรีทส์ต่อไปนั้น จะเป็นหน้าที่ของผู้จัดการกองรีทส์ (REIT manager