to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager
capital market product having high-risk or complex characteristics; “general manager” means a person who is assigned by the board of directors to be the highest level responsible person in the management of
registrar’s name, the period of the mutual fund, the scheme’s capital amount, and the characteristics of unitholders; (2)2 a diagram showing the mutual fund’s risk level and a summary of important risk factors
royal decree came into force. SEADEX applied for an operating license before 14 August 2018 and that allowed SEADEX to continue its business operation according to the transitional provisions.SEC is in
. ASEAN CIS to be offered must share similar substances with mutual funds allowed to establish in Thailand and be offered for sale through ASEAN CIS selling agent which is a licensed securities broker
support industry business operation, remove obstacles and clarify certain governing regulations. The revisions to become effective in September include:1. Licensed derivatives dealer will be allowed to
care of such client's securities trading account for a certain period of time. {A} admitted that the client allowed him to make securities trading decisions and he has already compensated the client for
, especially for clearer comparison between local and foreign products.Under current regulations, foreign CRAs, if approved by the SEC, are allowed to conduct mandatory rating of debt securities offered to the
depressions in farm income and high level of household debt while inflation remains at a low level. Other key risks that need to be monitored are the slowdown in global economy especially the Chinese economy
level of household debt while inflation remains at a low level. Other key risks that need to be monitored are the slowdown in global economy especially the Chinese economy, lower than expected growth in