supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
fund manager with the following qualifications : (1) In the case of the selected fund manager being a director, executive or employee of another company, the mutual fund management company shall prove
. STEP 3: Selected companies must represent the industry or the selected companies must have a combined free float adjusted market capitalization not less than 15% of such industry. DJSI Emerging Markets
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
แนะนำการลงทุนตราสารซับซ้อนประเภท 3 (IC complex 1 / IC complex 2 / IC complex 3) (ตารางคุณสมบัติ หน้า 38-49) - คุณสมบัติของผู้ขอความเห็นชอบเป็น ผู้แนะนำการลงทุนด้านตราสารทั่วไป (IC plain) (ตาราง
be selected from the candidates who have good understanding of the company’s business and are able to keep the Board of Directors, executives and shareholders well-informed by internal and external