Earlier, the SEC issued regulations on establishment and management of high-yield bond funds, which have been effective since 1 August 2021. The regulations aim to provide bridge financing for high
disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of
and protect confidential information of private fund; (g) Other systems showing the readiness to undertaking business as specified by the Notification of the Office. (4) Demonstrate that its personnel
PRI signatories in 2021 New high record of USD 121 trillion collective AUM The rise of sustainable investing & the growing shift to intangible. Thailand perspective: Source: PRI report, Morning Star
Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a
procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4
. _______________________Remark: * Key means a cryptographic key or any other data that must be kept confidential in order to be used for approval of transfers or transactions related to digital assets in digital wallets.
, High interest rate lending, Human Embryonic Stem Cells, Military, Nuclear power, Pornography, Reproductive medicine, Tar sands and oil shale, and Tobacco. 6 VE scale of assessment: Isolated / Occasional
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
adopts the company’s objectives, goals, and strategies, applying high ethical, environmental and social standards, and contributes to the sustainable growth of the company. Guidelines 5.2.1 The board