foreign ETF operator is not subject to limitation or suspension of business or revocation of license or registration as securities business operator by foreign regulator, and such certification shall be
. Previously, the SEC notified VTE to rectify its 2013 and Q1/2014 financial statements due to the auditors? qualified opinions resulted from limitation on their scope of audit/review. Hence, the auditors were
seeking to benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit
benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit; (3) Thai
derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose
network system, it shall given an approval by the authorized person and limit the operation for the necessary case only. [M] 6. Configuration management · Prior to configure the system and computer device
of parameter, it shall notify to concerned person each time. [M] o For the using other tools to inspect the network system, it shall given an approval by the authorized person and limit the operation
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
concerning the restriction on the right of unit holders who exceed holding limit or have vested interest shall be furnished with the following; to receive distribution, the management of dividend and the
should increase or not. • The limitation of security demands control through turnover list ratio needs to be proved. The relationship between shareholder wealth and liquidity index in Thailand has not been