Investor Return – Mind the Gap ©2015 Morningstar, Inc. All rights reserved. Kittikun Tanaratpattanakit Investor Return – Mind the Gap Agenda 2 gBackground g The Real Test is Whether Investors Succeed
education among target groups to expand competent investor bases. At the beginning of the year, the SEC restructured i ts organization to facilitate the implementation of the Capital Market Development Master
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
” means any securities clearing house under the Securities and Exchange Act. “institutional investor” means any investor which is a financial institution under the Commercial Banking Act, securities company
) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The organisational structure of the company shall be
least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
, top management, management and employees are appropriately defined and assigned. 4. The organization demonstrates its commitment to attract, develop and retain competent individuals in alignment with
investor” means any investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mutual fund, private
Investor type Customer relationship management Financial Literacy Financial Literacy Research Objectives 1. Clustering Thai investor types based on their investment portfolio allocation. 2. Investigates the