/1.6 For the purpose of supervision the undertaking of securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is
Instruments (No. 9) dated 28 February 2005; (3) Clause 2 and Clause 3 of the Notification of the Securities and Exchange Commission No. KorThor. 61/2543 Re: Rules, Conditions and Procedures for Supervision of
of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of
Past performance at specific periods (% per annum) Benchmarks: YTD 3 months 6 months 1 year Fund This ARFP Passport Fund is approved and under the supervision of [name of the Home Regulator]. Benchmarks
) Benchmarks: YTD 3 months 6 months 1 year Fund This HK Covered Fund is authorised and under the supervision of the Securities and Futures Commission of Hong Kong. Benchmarks Fund standard deviation Benchmark
accordance with the ones established by the IFAC; 3 (4) “auditing advisory committee” means a body of persons appointed by the SEC Office to give advice and recommendations regarding supervision of auditors in
allegation or appointment date; (2) signing a letter requesting any person to provide an explanation or opinion or submit any documents or evidence; (3) interrogating and recording an explanation or opinion of
ตลำดทุนทงัหมดและสร้ำงสภำพแวดลอ้ม ดิจิทลั ( digital ecosystem) การจดัให้มี https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/LawReform/RIA-TRUST.pdf PowerPoint Presentation . Supervision of Mutual