fiduciary responsibilities: 1. Adopt a clear written Investment Governance Policy 2. Properly prevent and manage conflicts of interest and prioritize advancing the best interest of clients. 3. Make informed
comments on proposed subordinate regulations under the Emergency Decree on Special Purpose Juridic Persons for Securitization B.E. 2540 (1997) (SPV Act)* to provide private sectors with clear guidelines for
trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
Concerning Futures and Options Trading 3.1 Understanding Terms and Conditions of Derivatives Contract Since derivatives trading carries a high degree of risk, therefore, prior to making investment decisions
actions by implementing new strategies and marketing plans to achieve better reach of both existing target customers and new customers. International sales revenue also experienced a similar degree of
appropriately responsible for the accommodations and travelling expenses truly incurred from such visit, and the SEC Office may set a clear criterion for this matter. Clause 4 The information or documentation
: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from
: .......................................................................................... 4. Academic degree(s) Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ Master's degree in .......... (FIELDS OF STUDY)....... from
shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
unit responsible for custody of private fund assets shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling