securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
staffing levels. The result of 3 inspection cycle shows that the proportion of the number of listed companies per audit managers (or equivalent) was 0.7 for Big-4 firms and 1.5 for Non Big-4 firms
Exchange Commission SorNor. 43/2544 Rules, Conditions and Procedures for the Approval of Mutual Fund Managers 28/09/2001 01/10/2001 Reports/Forms 9. Notification of the Office of the Securities and
in its annual report (if any). 3. Who can become a Signatory to the I Code? The I Code is a voluntary code that applies to Institutional Investors who become signatories as follows: Asset Managers: SEC
in its annual report (if any). 3. Who can become a Signatory to the I Code? The I Code is a voluntary code that applies to Institutional Investors who become signatories as follows: Asset Managers: SEC
Investment Fund Managers Directive (AIFMD) ซึ่งมีผลบังคับใช้ตั้งแต่ วันที่ 22 กรกฎาคม 2556 เพื่อการกำกับดูแลบริษัทจัดการลงทุนที่จัดการหรือเสนอขายกองทุนใด ๆ ซึ่งมิได้เข้าข่ายเป็น UCITS โดยหลักเกณฑ์ดังกล่าวจะส่ง
B86.8 million from last year. The total expenditure was B566 million, lower than the projected budget by B103.2 million. However, in comparison with the expenditure of the previous year, the 2007 figure