1(2)(d) of Clause 3; (6) supervising the operation to ensure compliance with the provisions of this Notification, including the governing laws or associated regulations. Clause 5 An approved person
from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and supervising the
Increasing Market Confidence Group 2: Measures for supervising inappropriate trading behaviors Measures Details Timeline 2.1 Disclose information on investors with inappropriate trading behaviors • To disclose
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
intended purposes; 9.8 Monitoring and supervising benefit of REIT: specify monitoring and supervising system of REIT; 9.9 Remuneration of REIT manager: specify types and rate of remuneration given to REIT
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
regulating and supervising the offering, marketing and distribution of a Covered Fund within its jurisdiction in compliance with the applicable Domestic Law. The offering, marketing and distribution of Covered
administration expense • Reported net loss of THB 238mn, largely as a result of the aforementioned reasons above • Total assets as of 31 March 2019 stood at THB 53,181mn, decreased by 1.4% or THB 779mn from 31
easing lockdown measures carried out by the Covid-19 Situation Administration. Sales grew tremendously following the reopening of all remaining stores in the second half of May, particularly during the