monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on
operating systems that support all five steps of the complete wealth advice process, namely (1) exploring and understanding customers, (2) constructing an investment portfolio, (3) implement the portfolio
advice service provision requires that the business operators must provide all five services as follows: (1) exploring and understanding customers; (2) constructing an investment portfolio; (3
mobilization and investments across ASEAN countries when the ASEAN Economic Community takes off in 2015. We are exploring opportunities and studying possible challenges for investors, fund raisers and business