}. However, after fact examination, it was found that there was a reasonable ground to believe that the actual payment for the purchase of the land and the office building was 40 million baht, and the
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification
Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
surveillance systems reviewed, monitored, and examined, according to an examination plan specifically designed to suit the level of risks for the derivatives exchange, by an independent person with required
• the duty of care, • duty of loyalty, • duty of good faith, • duty of confidentiality, • duty of prudence, • and duty of disclosure. • If a person violates their fiduciary duty, they are personally
qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the job title; (5
Exchange Commission as qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the
past 3 years prior to the application date 3 or ✓ ✓ ✓ ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or the
Notification from the date when it comes into force. Clause 17. From the date when this Notification has come into force until 31 December 2001, any person who has passed the fundamental knowledge examination or
any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the offering of securities services, the securities operation or research on securities