of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an investment portfolio 3
of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an investment portfolio 3
shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management company shall propose an investment policy appropriate for the clients after an assessment of
shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management company shall propose an investment policy appropriate for the clients after an assessment of
the issuer, for example, customers, suppliers of raw materials, potential business partners of the issuer, the affiliated companies of the issuer (parent company, subsidiaries, subsidiaries of the same
Intermediaries Reporting Requirement Weekly Reports Weekly Report on the Purchase of High Turnover Securities by Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the
management agreement : (1) The private fund management company shall deliver securities and assets of the private fund to clients or the custodian within the period mutually agreed upon by the private fund
management agreement : (1) The private fund management company shall deliver securities and assets of the private fund to clients or the custodian within the period mutually agreed upon by the private fund
obligations and responsibilities in clearing & settlement systems 100 million baht* Maintaining clients' assets in custody 25 million baht** Providing management services of Mutual Fund (MF), Private Fund (PF
Questionnaire Leadership Responsibilities Ethical Requirements Acceptance and Continuance of Clients Relationship and Specific Engagements Human Resources Engagement Performance Monitoring Documentation