representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management

following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain

objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset

At present, money market funds are used by investors as a tool to manage liquidity and a place to park money for a short time, besides keeping it in banking accounts. As of February 2018, the size of

Mr. Sompong Witthayaraksan Mr. Sompong Witthayaraksan, former chairman responsible for the operation of S.E.C. Auto Sales and Services Plc. (SECC) and entrusted to manage the company assets

. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and

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