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
conveying the client's consent to assign the private fund management company to arrange such matter. 1.3 The private fund management company shall invest according to the client's instructions, provided that
: assign the board of directors to indicate the offering price in accordance with the market price at the time of offer 2 nd case: the shareholders resolved to clearly indicate the offering price 3 r d case
) 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
through new or amended regulations with practitioners to ensure their correct understanding and implementation, and to assign an officer to take care of each company under the SEC supervision. 2. Monitoring
company secretary. Nevertheless, the fundamental intention of the company secretary requirement is to assign a responsible person for preparing and storing the company's important documents. To appoint any