Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
service at least throughout the working hours of the intermediary. (2) promote or disseminate information on the arrangement under subclause (1) to clients; (3) visibly reveal the redemption prices; (4
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
/ regulatory action 5. Advertising, raising customer awareness • One state regulator describes their role as making advisors reveal their “verification of misconduct” (costly verification) • Conditional on a
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of
, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or prospective investors, as the case may be, in order to know that such information under paragraph one
Commission on rules, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or prospective investors, as the case may be, in order to know that such
Please note and reveal the information to know each other. Yours Truly, Pol.Maj.Gen. (Vatin Comsongsri ) Director