directors of an investment advisory company to assume the highest responsibility in the management of the investment advisory company, regardless of the title; “investor contact”1 means any person who has
regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint a private fund marketing representative and a representative for
Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint a private fund marketing representative and a
Notification of the Office of the Securities and Exchange Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint
manager; (d) investor contact; (4) “personnel in derivatives business” means any person who performs duties for the benefit of the derivatives business operator or who is related to the derivatives business
เจาะจง (Cornerstone Investor) และยกเลิกหลกัเกณฑท่ีกําหนดใหตองนําหุนที่เสนอขายไปกอนหนา ในราคาต่ํากวาราคาหุนเพิ่มทุนท่ีเสนอขายตอประชาชนเปนการทั่วไปของบริษัทจดทะเบียนมา lock-up 1. การรับฟงความคิด
Reporting In addition to annual reporting, Issuers are encouraged to provide more frequent periodic reporting which would increase transparency and investor confidence in the ASEAN Sustainability-Linked Bonds
shield. This is one of our key commitments to investor protection. Furthermore, we have stepped up our proactive approaches with the launch of the Investment Scam Hotline initiative to allow the public and
Examination (CMFAS exam) ส่วนหลักสูตร product knowledge ของประเทศไทยที่ MAS ยอมรับคือหลักสูตรการทดสอบ สำหรับผู้ติดต่อกับผู้ลงทุนประเภท ข ด้านหลักทรัพย์1 (Module 1 of the Investor Contact Competency
. INSTITUTIONAL & RETAIL INVESTOR DEMAND 4 • USD130T FUM from institutions that are signatories to the UN Principles of Responsible Investment. • Many pension funds, insurers, and other asset owners have committed