such as chief executive officers, chief financial officers and chief accountants. This is to make sure that they understand their roles, duties and responsibilities from the start, as far as financial
fund with policy responsive to investors? needs. Mutual funds to be offered should fill savings-investment gap for targeted investors and easy to understand. Moreover, selling of investment units must be
Secretary-General, said ?With the current economic and social conditions and the outlook, in particular aging society, everyone needs to understand and realize importance of saving and investment to ensure
test to make sure that the clients understand their own risk profile and receive appropriate investment advice before making an investment or a transaction. Clear and comprehensive disclosure of
follows: 1 . We wish to express an intention to submit information electronically to the SEC Office and agree to abide by the following conditions: 1.1 We fully understand and acknowledge the SEC Office’s
considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult
following conditions: 1 . 1 We fully understand and acknowledge the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021) (Standard Procedures) and the Usage Manual on
provider and agree to abide by the following conditions: 1 . 1 We fully understand and acknowledge the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021) (Standard
understand and comply with the regulations prescribed in the said Notifications properly, the SEC would like to provide clarificatory notes to the Notifications and relevant guidelines, with details as follows