are likely to have improper behavior and have adverse impact on clients and mutual funds. The personnel to be included are, for example, the person with supervisory functions and the assistants of the
. For example, the revision will improve dispute conditions between securities and derivatives companies and clients through arbitration procedures.? In the case of making a reservation of right, the
fund in Thailand will be subject to the similar approval criteria and other relevant regulations applicable to Thai companies. Moreover, certain rules will be added; for example, corporate law governing
following personal data: 1.1 Definitions and examples of data collected by the SEC Office Personal data: Data of a personal nature, for example, identification number/passport number, title, name, surname
personal data: 1.1 Definitions and examples of data collected by the SEC Office Personal data: Data of a personal nature, for example, identification number/passport number, title, name, surname (Thai
the issuer who is responsible for the information contained in the prospectus. B. Advisers and other parties 1. Provide the names and addresses of – (a) the issuer's principal bankers to the extent the
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification
debt instrument Heading Disclosure of Information Important Information of the Structured Notes 1. Types of structured notes: Specify the type, features and underlying of structured notes, for example, a
eligible activities within the latest two calendar years. However, the Investment Analysts Association will be responsible for defining the scope, knowledge standards and training curriculum for the full