supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
ประเทศ -> หน่วยกองอสังหาฯ และตราสาร REITs single fund limit ≤ 10% ; total fund limit ≤ 20% (ข้อ 74 ประกาศ สน. 24/2552) single fund limit ≤ 15% (ข้อ 62(6) ประกาศ สน. 24/2552) single fund limit ≤ 15
” means association related to securities business authorized from the Office to establish and register with its objective to support and develop securities business in the category of investment management
. Computer Operation. 8. IT Outsourcing. Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the concerned
from the SEC Office; (18) “ association ” means an association related to securities business which is licensed by and registered with the SEC Office with the objective to promote and develop securities
: Governance of Enterprise IT Objective: Information technology systems are taken on a major role as a business driving force and constitute one of the core operating systems where disruption will have an impact
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
, settlement method and setting price, etc.. Moreover, investor should consider the suitability of such investment with the investor owns investment objective and financial. 3. Risk of loss beyond initial margin
needed should also be given; 2. If the objective above is to invest in a future project, disclose the details as specified in the Future Projects Section; 3. In case of a transaction with a person with a