institutional investors without requiring to assess the qualifications of the underlying clients for investor classification purposes*. This approach is based on the fact that private funds are managed by

that most of holding company assets be placed in the core business managed and controlled by holding company and requiring an appropriate mechanism be available for protection of the benefits of holding

, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found  that T.U. Dome Fund managed by ING Funds failed to comply with the fund scheme and regulations under the Securities and

markets of the World Federation of Exchanges (WFE) whereas the eligible funds must be established and managed by securities firms licensed by member regulators of the International Organization of

implement efficient, reliable and systematic credit rating methodologies and operate independently without conflicts of interest. Inputs must be managed efficiently while disclosure of public information must

mutual fund under Thai securities law although utilizing different forms of instruments such as shares or trust certificates.  Eligible CIS must be managed by CIS operator subject to supervision of ASEAN

Ms. Sujeera managed the financial transactions regarding their trading of TIGER's stocks. 05/01/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows

and Mr. Atthavut managed the financial transactions regarding their trading of TIGER's stocks. 05/01/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as

considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult

to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall