บุคลากร (anti-money laundering officer)เพื่อทำหน้าที่ให้คำปรึกษา ติดตาม และตรวจสอบการปฏิบัติงานของบุคลากรและผู้ที่ได้รับมอบหมายให้ปฏิบัติงานให้แก่บริษัทหลักทรัพย์ เพื่อให้การ
Risk- Taking in Household Portfolios", The Journal of Finance, Vol. *** No. 2, April 2014 Cole, Shawn, Paulson, Anna and Shastry, Gauri Kartini. "Smart Money? The Effect of Education on Financial
ETFs17. 3. The Hong Kong Covered Fund must not be money market funds, hedge funds, fund of hedge funds, structured funds, listed open-ended funds (also known as active ETFs) and closed-ended funds, in
arrangement Money Market Fund 2.1 of Division 2, Appendix 2 of Notification of the Capital Market Supervisory Board No. Tor Nor. 87/2558 Re: Investment of Funds X Capital Protected Fund 2.2 of Division 2
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
Offering: RO) or other suitable type, together with the financing from money market and/or issuing additional debenture. This long-term plan would result in an appropriate capital structure and financial
goal, and that goal is most likely to achieve a successful retirement. It may be that a financial advisor generates significant negative alpha for a client (i.e., invests the client’s money in very
useful investment signal for individual investors. 15 There is counter evidence by Frazzini and Lamont (2008) that mutual fund flow represents “dumb” money that destroy retail investors’ wealth over the