underwritten by them. The permission will cover either trading to hedge derivatives positions that underwriters already have or trading of shares in SET50 or SET100 subject to certain conditions. In addition
to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading
performing. Winner funds are hard to find and persistently win. 3 consecutive years: only one fund stays in Top Quintile from 2012 through 2014. 5 consecutive years: only four funds stay in Top Half from
limitations, constraints, and uncertainties in the transition plan (e.g. challenges regarding GHG emissions reductions of hard-to-decarbonize sectors) 6. Periodically reviewed and updated 7. Reported annually
electronic system as provided by the SEC office. In case the hosting licensed firm cannot file the application via such system, hard copies of application form and supporting documents can be submitted in
Regulatory Summary Required documents for an approval of ARFP Passport Funds (for inbound only) A CIS Operator must submit a completed Form 35 – ARFP CIS in hard copies accompanied by all supporting
CIS Operator must submit a completed Form 35 – ARFP CIS in hard copies accompanied by all supporting documentation as specified in Form 35 – ARFP CIS to the SEC Thailand for the ARFP Passport Fund
ใช้สิทธิให้ รายงานภายใน 15 วันทำการนับแต่ว ันที ่เกิด รายการ ส่วนกรณีไถ่ถอนเมื่อครบกำหนดอายุ ระบบปิดให้ อัตโนมัติ หมายเหตุ: P* : ส่ง hard copy เฉพาะหนา้รับรองความถูกต้อง online : ส่งข้อมูล online โดยใช้