effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and
) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business or capital market
professional ethics or standards as stipulated by an association under the Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or
investors and specify additional assumption if applicable. In this regard, an auditor approved by the SEC shall be appointed to audit and give an opinion or show confidence in such consociated financial
. Net income (loss) 10. Earnings per share 10.1 Basic earning per share 10.1.1 Net profit (loss) before extraordinary items 10.1.2 Extraordinary items 10.1.3 Net income (loss) 10.2 diluted earning per
mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016
เบื้องต้นเกี่ยวกับการจัดสรรและกำหนดสัดส่วน การลงทุน (“basic asset allocation”) ผู้ประกอบธุรกิจสามารถใช้ basic asset allocation รูปแบบมาตรฐาน ที่สำนักงานจัดทำขึ้น (ตามสิ่งที่ส่งมาด้วย 2 ) เพื่อประกอบการให้