KWI ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 03/03/2016 - 08/03/2016
SEC has plans to review the criteria relating to the report form of the securities and derivative business operators to accommodate the change in financial reporting standards - financial instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it reasonable to increase the flexibility in submitting the report to be in line with the operation procedu...
Business undertaking by adding License Type E for securities business intermediary for equity instruments and Private Fund License. This will facilitate license application in line with business operators
Providing Compliance Unit of an Intermediary
Providing Compliance Unit of an Intermediary
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
ตารางแสดงอันดับและสถาบันจัดอันดับความแข็งแกร่งทางการเงิน (financial strength rating) ที่สำนักงานยอมรับ (แนบท้ายประกาศ สน. 21/2563)
according to the definition by the National Institute of Standards and Technology (NIST); “outsourcee” means the external parties engaged by the intermediary in the operation on an ongoing basis and must