) screening: ▪ Excludes sectors and companies, based on: ▪ Absolute rules; ▪ Relative rules; ▪ Reduces the investible universe. Inclusionary (positive) screening & best-in-class screening: ▪ Actively includes
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
% 14.44% 10 yr 8.82% 6.14% Source: Bloomberg 31 Passive Index Strategies Actively Managed Strategies Strategic Beta: adding active flavors into passive strategies. Rules-Based Investment Strategic Beta
Complaints of Clients dated 3 August 2009; (2) The Notification of the Capital Market Supervisory Board No. Tor Thor. 63/2552 Re; Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which
Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first
national legislative frameworks, regulatory disclosure requirements or listing rules. As global guidance, it should be read with the understanding that local rules and cultural norms may lead to different
mutual fund had been given an approval by the Office in accordance with the rules, conditions and procedures as specified in the notification of the SEC.