) -2- “mutual fund rating”2 means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
period of sale and allocation. 2. Appoint financial advisors and / or underwriters and / or credit rating agencies of issuers of securities and / or securities and / or any other persons in the event that
evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the
: _________________________________________________________ 4) Legal form of NRI CIS: legal entity1 unit trust any other structure acceptable to participating jurisdictions 5) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the
select three arbitrators ranking in preference order and notify the Office, in writing, within fifteen days from the date of filing the statement of claim or the date on which the mediation of dispute is
list of the Office by the following methods: (1) the claimant shall select three arbitrators ranking in preference order and notify the Office, in writing, within fifteen days from the date of filing the
Capital market business, the market share (SET and mai excluding proprietary trading) of Phatra Securities Plc. (PSEC) was 7.32%, increased from 4.55% in 2018, ranking 1 st from total 38 brokers. During
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The guideline for the