. ____________________Notes to the news• List of 26 business operators granted approval to be licensed wealth advisors is as follows:1. Seven securities companies, namely:(1) KTB (Thailand) Securities Public Company Limited
) Board governance structure: Requiring DA operators – except DA advisors and the DA operators holding client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint
assume risk) × A combination of risk preference and risk capacity is an ideal 10 11 g “At the onset of retirement, investment advisors make crucial recommendations to clients concerning asset allocation
to the greater number of disclosed KAMs, as it provides critical information that guides them to the areas with the most significant risk. The number of disclosed KAMs is likely to depend on the size
signatory base. • Data can be shown on per-region basis. • Based on key elements of data from PRI’s annual signatory reporting Introductory & Technical Guides ▪ Responsible investment, explaining the
approval to the proposed amendments. The proposed amendments contain the following essences: (1) Board governance structure : Requiring DA operators – except DA advisors and the DA operators holding
issuance and offer for sale of securities and the relevant professionals, for example, appraisers, and financial advisors; 4. Information regarding any action undertaken with the company applying for
Annual Report 2009 1 Annual Report 20092 Over the past year, the Thai economy experienced a recession for the first time since the Asian economic crisis in 1997. The first quarter saw a 7.1 percent contraction as a result of sluggish export in the midst of global financial crisis, diminishing demand of domestic private sector, and lack of confidence in economic and political directions. All these factors played out against a backdrop of weakening economies of our trade partners worldwide, which...
------------------------- Securities Issuance and Takeover Asset Management Securities Brokerage/Dealer/Underwriter and Financial Advisors Marketing IP/FG Ombudsmen Private Fund Marketing Representative (PF) Accountants and Auditors
------------------------- Securities Issuance and Takeover Asset Management Securities Brokerage/Dealer/Underwriter and Financial Advisors Marketing IP/FG Ombudsmen Private Fund Marketing Representative (PF) Accountants and Auditors