supervision, implementation and enforcement among different authorities is clearly defined so that the competencies of complementary bodies and agencies are respected and used most effectively. Potentially
/ regulatory action 5. Advertising, raising customer awareness • One state regulator describes their role as making advisors reveal their “verification of misconduct” (costly verification) • Conditional on a
, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or prospective investors, as the case may be, in order to know that such information under paragraph one
Commission on rules, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or prospective investors, as the case may be, in order to know that such
Please note and reveal the information to know each other. Yours Truly, Pol.Maj.Gen. (Vatin Comsongsri ) Director
สาํคญัของปัญหา http://www.sec.or.th http://www.econ.nida.ac.th แรงจงูใจ Past performance is often the first thing a mutual fund will reveal about itself. “Investors and advisors consider past performance
three nested bowls. (H 9 cm) P r o p o r t i o n Beauty comes with the right proportions. F a i r n e s s The rights of small shareholders need to be respected. No market can prosper without adequate
intermediary and reveal the report in the annual compliance report; (5)1 in case the outsourced function is related to derivatives investment, the intermediary shall outsource such function to a derivatives
securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the