delivering of assets of the fund so that the client, the custodian, the management company or the mutual fund supervisor shall receive the assets forthwith to allow continuous management of the funds
supervisor shall receive the assets forthwith to allow continuous management of the funds. Guidelines 1. In the case where the mutual fund has changed the management company/the mutual fund supervisor, the
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
, for example, the launch of Wealth Advice for All initiative which gives the public a more convenient access to one-stop services on investment advice and the co-launch of the Happy PVD Company project
Analyst (Series 86/87) สำหรับการขอความเห็นชอบเป็นนักวิเคราะห์การลงทุนด้านหลักทรัพย์ (3)หลักสูตร Investment Advice Diploma ของ Chartered Institute for Securities and Investment เฉพาะรายวิชาที่
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
Mutual Fund 20. Relaxation of rules A mutual fund management company may request the SEC's for relaxation of the following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund