=system_name%3AInvestor%20Alert&start=1880&rows=10 1881 - 1890 of 1,945 results Sort by: Relevance Date (Newest) Date (Oldest) ประกาศคณะกรรมการ ก.ล.ต. กลธ. 10/2562 Rule Book for Asset Management ค้นหากฎหมาย/ กฎ
fund ("One-Third Rule"). As there is no such One-Third Rule in other ASEAN countries, the proposed revision aims to facilitate Thai investment management companies by exempting the said Rule from unit
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major
overseas products seller and issuer.Mr. Pariya Techamuanvivit Director, Corporate Affairs Department said that the objectives of the rule-amendment are to clarify business criteria and broaden scope of
to promote local fund mobilization by foreign companies. Concurrently, a proposal to streamline the rules on reporting of securities holding in Thai companies is under consideration to reduce burdens
matter which form is, for providing services, whether all or some parts, to clients as permitted by its license and being which one of the following offices: (1) domestic branch office; (2) oversea branch
the following offices: (1) domestic branch office; (2) oversea branch office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are