according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits or time certificate of deposit, such
according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits or time certificate of deposit, such
investment period can be specified) (d) What are the factors that would have a significant impact on the investment of investors? (e) Is this a guaranteed mutual fund, a guaranteed capital and return mutual
any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
instruments avaled in full or unconditionally guaranteed of the principal and interest in full by the Ministry of Finance, or bonds or debt instruments issued or unconditionally guaranteed of the principal and
and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities