notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
attentiveness and accumulate knowledge of market personnel regarding developments in international capital markets, promote academic opportunities and expand perspectives of such personnel through global
> Management of Mutual Fund > Mutual fund performance measurement Regulations SHARE : Detail Content Management of Mutual Fund 3. Mutual fund performance measurement 3.1 Conform to the recognized academic
> Management of Mutual Fund > Mutual fund performance measurement Regulations SHARE : Detail Content Management of Mutual Fund 3. Mutual fund performance measurement 3.1 Conform to the recognized academic
of shareholder rights protection. Key projects included the Annual General Shareholders Meeting Assessment Program and the proposals for several amendments to the Securities and Exchange Act B.E. 2535
academic work as a special lecturer at the National Defence College of Thailand, the National Defense Studies Institute, King Prajadhipok’s Institute and the Economics and Finance Academy of the Ministry of
the TIA in the following projects, (1) Annual General/Extraordinary Shareholders’ Meeting Assessment Project and (2) Annual General/Extraordinary Meeting Assessment Project for (2.1) unitholders of
services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s
Bangkok, October 15, 2014 ? The SEC supported Thaipat Institute in announcement on progress level assessment of Thai listed companies? anti-corruption (anti-corruption progress indicator). The
Minority Shareholder. “During the course of assessment, the SEC proactively participated in the revision and promotion of various measures to enhance minority investor protection, resulting in the