characteristics; (2) complex instrument investment consultant means an investment consultant providing consultation on capital market product not having complex characteristics as well as the product having high
category of mutual fund management. Chapter 2 Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its
Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of
roles and responsibilities and discharge them efficiently as required by the professional standards and relevant regulations. Accordingly, the SEC has laid out a plan to promote capabilities of the
procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
Notification shall come into force as from 1 December 2012. Clause 2 In this Notification: “REIT Manager” means a person specified in a trust instrument as the manager of REIT with the authority and duty to
Professional Accounting Standards, the Code of Ethics for Professional Accountants and Provisions of the Law on Professional Accountants such as the Thai Standards on Auditing (TSA) concerning the Auditor’s
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
> Debt Instrument Regulations SHARE : Detail Content Debt Securities Debt securities provide a financing alternative which can reduce cost of funds paid to financial institutions. Issuers may
> Equity Instrument Regulations SHARE : Detail Content Equity Instruments Regulations on equity instruments are aimed at creating a balance between the protection of investors and effective fund mobilization