management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
shall be applicable to securities company licensed to undertake securities business in the category of securities brokerage providing investor with trading service for units of foreign collective
applicant for securities business license in the category of investment advisory service is a branch of foreign commercial bank or a foreign life insurance company licensed under law on commercial banking or
the management company; “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “fund supervisor” means a mutual fund
Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of
advice for clients. Clause 13/16 A securities company licensed to undertake the securities brokerage business and providing advice to client by foreign securities business operator shall proceed as follows
advice for clients. Clause 13/16 A securities company licensed to undertake the securities brokerage business and providing advice to client by foreign securities business operator shall proceed as follows
an amendment to the trust instrument fails to meet the requirements as prescribed under Sub-clause (1), the trustee shall proceed in accordance with its power and duties as specified in the trust
Bangkok, February 21, 2014 ? The SEC is seeking public comment on revising the regulations concerning independent directors of licensed securities and derivatives business operators. The proposed
procedures as specified in the notification of the Capital Market Supervisory Board by engaging in any other business which is not a licensed securities business without the Capital Market Supervisory Board’s