approval to offer debt securities for sale. This will allow the SEC to carry out a preliminary scrutiny of qualifications of issuers for investors. Disclosure – issuers are required to make complete and
terms of the derivatives contract specification, etc. Clearing House An important part of trading in securities and derivatives is to ensure that both counterparties will carry out their agreed
category of mutual fund management shall be carried out by syndication of financial institution and other legal entities as specified in the Ministerial Regulation No.4 (B.E. 2535) promulgated under the
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
, accordingly, cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising out of or in connection with its use. SHARE : For More Information ContactUs Legal
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
fund has net profits or retained earnings in the accounting period of dividend payment is less than the dividend payment calculated, the mutual fund management company shall pay out whichever amount
is less than the dividend payment calculated, the mutual fund management company shall pay out whichever amount that is greater between net profits and return earnings as the dividend; (2.2) Where the
benefit of beneficiaries, according to terms set out in a trust instrument. A trustee of an infrastructure trust must hold a license granted by the SEC and be independent from the trust manager