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
fund management company can deny any civil liabilities arising from a willful act, or from negligence to perform duties specified in the agreement; (2) The agreement contains a statement informing
Criteria for protection of shareholders a. Notice of calling the Shareholders' Meeting Be delivered 14 days in advance of the meeting Contains sufficient information, at least on the following matter
presenting a false prospectus; - Purchasing securities from a securities issuing company who disclosed information to shareholders or the public which contains a false statement such as financial statements of
information to shareholders or the public which contains a false statement such as financial statements of the company; - The board of governors of the Stock Exchange ordered a delisting of securities. The
) 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
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