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
Qualifications Main duties of a Trust Settlor/Trust Manager Qualification s Being an asset management company or a non-asset management company No records of infringements or negligence of material issues
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
) 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
. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts
Capital Market Business Qualifications of Applicants for Approval of Applicants for Approval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex Products
. A trustee's main duties are to: oversee that the trust instrument is established in conformity with relevant laws; appoint a trust manager; prepare a trust property account in segregation from a
of staff in the main fields, accumulated remuneration, labour disputes (if any) Anti-corruption Corporate Social Responsibility (CSR) Related party transaction Important points Does the company have
certifying financial statements of entities whose securities are publicly traded in main board of foreign stock exchange, shall be granted the approval as foreign auditors in the capital market withoutfull