where the home regulator is established; (4) a letter appointing a brokerage firm to perform duty as a representative responsible for the trading of units of ASEAN Collective Investment Scheme in Thailand
reasonable ground to believe that there is or was [i] a misconduct against duty or service with reference to loyalty and fairness, [ii] lack of responsibility or deliberation, [iii] exploitation of investors
Group 3: (1) having a reasonable ground to believe that there is or was [i] a misconduct against duty or service with reference to loyalty and fairness, [ii] lack of responsibility or deliberation, [iii
Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into
เพื่อให้หลักเกณฑ์มีความชัดเจน ครอบคลุมการทำรายการของบริษัทจดทะเบียน รวมถึงให้สิทธิผู้ถือหุ้นมีส่วนร่วมตัดสินใจ และให้คณะกรรมการปฏิบัติหน้าที่โดยคำนึงถึงหลัก fiduciary duty และปรับปรุงนิยามที่เกี่ยว
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting