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Page 1 of 2 ACC6711/003 November 14, 2024 Subject: Clarification of operating results for the third quarter of 2024 ended September 30, 2024 Dear Directors and Managers Stock Exchange of Thailand
- Mutual Funds, Private Funds, Provident Funds, Fund Managers, Investment Consultants, Fund Supervisors etc Digital Asset Businesses Intermediaries Exchange, Broker, Dealer,Advisory Service, Fund Management
of low qualified assets left in the fund portfolio and they have to bear the costs associated with the asset sales. Meanwhile, the proposed risk management tools that fund managers can choose to use
requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without
December 26, 2008, the amended rules have the following features:1.The status of Category B investor contacts (marketing officer), who are also registered as fund managers, will be automatically upgraded to
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
deemed a breach of duties and professional codes of conduct. Earlier, the SEC disseminated a circular urging investor contacts, branch managers and securities company management to ban unregulated
of 30,000 baht to the funds under their management may be liable to settlement fines. In case of penalties due to errors of similar natures, the SEC may also consider punishing fund managers in charge