services and putting investors first, while discussed with the business operators for comments and suggestion on this issue. The proposed guidelines and this public hearing will be presented to business
perhaps contradictory regulations between jurisdictions is also an issue that should be monitored so that no regulatory vacuum is allowed to develop (i.e. issues slipping through in which no authority has
any acts to engage into assets trading or enter to be counterparty before the fund. Clause 6. Management company shall manage their own business in the matters which concern with any acts that may
company perform any acts to engage into assets trading or enter to be counterparty before the fund. Clause 6. Management company shall manage their own business in the matters which concern with any acts
counterparty before the fund. Clause 6. Management company shall manage their own business in the matters which concern with any acts that may create conflict of interest to the fund as the following: (1
firms did not concern over significant client’s issues before accept those clients. Example 1 : There was insufficient documentation regarding client acceptance evaluation. In addition, some evaluation
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
ธนาคารพาณิชยไ์ดใ้นระหวา่งด าเนินการใกลเ้คียงกบั หุน้สามญั (absorb losses on a going-concern basis) หรือเม่ือธนาคารพาณิชยมี์ผลการด าเนินงาน ท่ีไม่สามารถด าเนินกิจการต่อไปได ้(gone-concern basis) จึงก า
. 5 The 17 controversial activities screened by Vigeo Eiris are: Alcohol, Animal welfare, Cannabis, Chemicals of concern, Civilian firearms, Fossil Fuels industry, Coal, Gambling, Genetic engineering
Currently, the existing regulations require that the foreign issuer of baht bonds comply with the approval and disclosure rules in the same manner as other types of bonds. Additionally, to issue and