Ruenvadee Suwanmongkol, Secretary-General of SEC, remarked: “The enhancement of shareholders’ rights and protections is SEC’s main mission. Scaling up the legal knowledge regarding securities and
customer’s knowledge and understanding, branch mentioned in the complaint, type of securities commonly named in the complaint, and amount of time the operator spent to resolve the problems, etc., will be
(ตราสารด้อยสิทธิเพื่อนับ เป็นเงินกองทุนประเภทที่ 1 ของบริษัทประกันภัยและธนาคารพาณิชย์) ผู้ประกอบธุรกิจหลักทรัพย์ต้องจัดให้มีการทดสอบความรู้เกี่ยวกับการลงทุนหรือการทำธุรกรรม (knowledge test) ก่อนการให้บริการ
has become effective since 1 October 2022. This is to enhance investors’ knowledge and understanding of the characteristics and risks of the products, and build the ability to accept risks and access a
and ending dates in performing the duties, and a list of fund managers. (3) Organization of knowledge enhancement or training sessions for fund managers and related officers. (4) Calculation and
responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund management company shall organize knowledge enhancement or training sessions for their fund managers and
management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a