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
) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights
แนะนำการลงทุนตราสารซับซ้อนประเภท 3 (IC complex 1 / IC complex 2 / IC complex 3) (ตารางคุณสมบัติ หน้า 38-49) - คุณสมบัติของผู้ขอความเห็นชอบเป็น ผู้แนะนำการลงทุนด้านตราสารทั่วไป (IC plain) (ตาราง
Complementary document for approval of trustee business Intermediaries Wealth Advice for All A Settlor of an Infrastructure Trust Trustee SHARE : For More Information ContactUs Corporate Finance Department
that such document contained false information became known or should have been known, but not exceeding two years from the effective date of such document; - The rights to claim compensation due to
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
statement and prospectus shall have a limitation period of one year from the date on which the fact that such document contained false information became known or should have been known, but not exceeding two