Providers: include fund supervisors, (sub-) custodians, proxy advisers, investment consultants and trustees. 4. Process to become a Signatory to the I Code Assess the company's readiness to implement the I
Investment Consultants Fund Supervisors Custodian Auditors Private Funds Private Fund Management Companies Fund Managers Custodians Auditors I nvestment Analysts / Investment Consultants Marketing
Approval (SEC Check First - Thai version) Services and Information Update ( Please login to ORAP system) Regulatory Summary List of Analysts/Investment Consultants Fund manager / Inve
/derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2 ______________________________ 1 In case
• Derivative Act о Investment Analysts / Consultants • ASEAN Investment Analyst / ASEAN Investment Consultant - Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework
, professional advisers (such as external auditor), and information relevant and necessary to perform their duties. 6.2.4 The board should ensure the designation of an internal auditor or establish an independent
may pursue civil proceedings to obtain a compensation. In any case, financial advisers and legal advisers must comply with their respective professional standards, and failure to do so would subject
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing