requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without
branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
Exchange Commission SorNor. 43/2544 Rules, Conditions and Procedures for the Approval of Mutual Fund Managers 28/09/2001 01/10/2001 Reports/Forms 9. Notification of the Office of the Securities and
in its annual report (if any). 3. Who can become a Signatory to the I Code? The I Code is a voluntary code that applies to Institutional Investors who become signatories as follows: Asset Managers: SEC
in its annual report (if any). 3. Who can become a Signatory to the I Code? The I Code is a voluntary code that applies to Institutional Investors who become signatories as follows: Asset Managers: SEC
Investment Fund Managers Directive (AIFMD) ซึ่งมีผลบังคับใช้ตั้งแต่ วันที่ 22 กรกฎาคม 2556 เพื่อการกำกับดูแลบริษัทจัดการลงทุนที่จัดการหรือเสนอขายกองทุนใด ๆ ซึ่งมิได้เข้าข่ายเป็น UCITS โดยหลักเกณฑ์ดังกล่าวจะส่ง
measures for prevention of conflicts of interest. Clause 4 . The management company shall submit to the Office the following information relating to its property fund managers in the forms and procedures
managers in the forms and procedures provided in the Office’s electronic work system: (1) report on appointment of property fund managers which shall be submitted not less than fourteen days prior to the
managers in the forms and procedures provided in the Office’s electronic work system: (1) report on appointment of property fund managers which shall be submitted not less than fourteen days prior to the
compared with the preceding year. □ 2. Supporting documents for consideration under Clause 4 (2): □ (1) Violation record, under the law specified in the Notification, of an applicant, directors, managers and