phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
Exchange Commission concerning examination and disclosure of units of foreign collective investment scheme; (2) being units offered for sale only to institutional and high net worth investors. Clause 5. In
Examination (CMFAS exam) ส่วนหลักสูตร product knowledge ของประเทศไทยที่ MAS ยอมรับคือหลักสูตรการทดสอบ สำหรับผู้ติดต่อกับผู้ลงทุนประเภท ข ด้านหลักทรัพย์1 (Module 1 of the Investor Contact Competency
1.50 percent to accommodate the recovery path of domestic activity for the remainder of this year. Thailand Economic Growth Sources: Office of the National Economic and Social Development Board and
of transactions: - The National Bank of Cambodia (NBC) issued the new circulars regarding increase the minimum capital requirement of financial institutions and capital injection will be used for
) - (Derivatives) (Efficient Portfolio Management) / - 25 www.aiaim.co.th - (Non-Investment Grade) (unrated) 20 NAV (Unlisted Securities) AIA-GAA 4 1. (Credit Risk) Credit rating National Credit Rating AA, A BBB BBB
) (Efficient Portfolio Management) / - 25 www.aiaim.co.th - (Non-Investment Grade) (unrated) 20 NAV (Unlisted Securities) AIA-GCA 3 1. (Credit Risk) Credit rating National Credit Rating AA, A BBB BBB unrated
) / - 25 www.aiaim.co.th - (Non-Investment Grade) (unrated) 20 NAV (Unlisted Securities) AIA-GMA 4 1. (Credit Risk) Credit rating National Credit Rating AA, A BBB BBB unrated Credit rating International
) Social Security Fund; (14) National Saving Fund; (15) Financial Institution Development Fund; (16) derivatives business operator under the law on derivatives Act; (17) future business operator under the