information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel
issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 67. Securities company shall separate work unit and personnel responsible for
take benefit from such information. Clause 67. Securities company shall separate work unit and personnel responsible for contacting, soliciting or giving advice on securities investment for client from
personnel for two years, starting from 14 September 2016. During the suspension period, {A} is not allowed to work in the managerial or advisory areas in the company, nor could he perform any other duties as
SEC has discussed with the Stock Exchange of Thailand (SET), the Association of Thai Securities Companies, and the Investment Analysts Association, to develop a shared approach to revising the
. The Stock Market Flood Relief Fund was a collaboration amongst capital market organizations, comprising the Stock Exchange of Thailand, Thai Listed Companies Association, Association of Securities
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
closed-end fund and open-end fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been
fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been approved by and registered