derivatives trading; (c) [derivatives] trading information of the client and information on trading of the underlying asset by the client; (d) the information specified under (a), (b) and (c) of direct or
fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation
fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation
general satisfactory score of 70 out of 100 and received exceptional results in the supervision of securities companies and asset management companies. We made a full score on mutual fund supervision. 5 In
) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for communicating with and
) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for communicating with and
) in case where all units of the ASEAN collective investment scheme are offered for sale to institutional investors or ultra-high net worth investors, the investment policy in eligible asset types with
necessary measures in this area, e.g. asset management companies and financial institutions that sell mutual fund investment units were to disclose foreign exchange risk of foreign investment funds (FIF) more
such as Chairman of Clearing Committee of Thai Asset Management Corporation, prominent members of the Board of the Bank of Thailand, the Board of the Financial Institution Policy, the Board of
and deliver information of investment or holding of the assets as asset of the management company to the Office by accompanying with other information in which management company has the duty to deliver