shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
responsibilities to the investing public and to rated entities, obligors, originators, underwriters, and arrangers, including a responsibility to protect the confidentiality of some types of information these
persons, and for this purpose the Secretary- General may authorize an agent or any other person to perform a specified act. SECTION 24/1.4 To protect the public interest or investors, the SEC Office or the
Discipline ● Proposed to amend the SEC Act to define clearer scope of responsibilities of listed companiesû directors and to empower investors in exercising their rights ● Cooperated with the SET in revising
instrument and the Trust for Transactions in the Capital Market Act B.E. 2550 (2007) to protect the rights and interest of the unitholders as a whole; (3) in case there is any subsequent change to the rules
://fsahandbook.info/FSA/html/handbook/COBS/2/2 Financial Reporting Council 5 The Principles of the Code So as to protect and enhance the value that accrues to the ultimate beneficiary, institutional investors should: 1
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018