Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and Derivatives Advisors ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E
e-service Online Submission Derivatives Advisors >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorChor. 9/2555
/2563 2.1543 3.4271 5.5814 246003662005-1 HUMAN WASATCH ADVISORS, INC. จำหน่าย หุ้น 5.8926 0.9036 4.989 13/02/2563 5.8926 0.9036 4.989 246002552002-1 HUMAN CAPITAL RESEARCH AND MANAGEMENT COMPANY
financial market incidents. Dr. Peng Chen, CFA who serves as Chief Executive Officer, Asia (ex-Japan) for Dimensional Fund Advisors, a world leading investment firm, Deborah A. Fuhr, a prominent ETF expert
derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6) (7) (8) and (9) and harmonize with the elaborate
metal derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6) (7) (8) and (9) and harmonize with the
) (7) (8) and (9) and harmonize with the elaborate commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the