and offering of shares Request for approval Disclosure of information Subscription/ sale and allocation Post-offering duties Request for Approval Directors, executives and majority shareholders do not
treatment. Requirements for a resolution to be passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain
treatment. Requirements for a resolution to be passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
Agency Experiences Director, Islamic Bank of Thailand Vice Chairman, Thailand Post Company Limited Director, PTT Regional Treasury Center Pte.Ltd. (PTTRTC) Director, MFC Asset Management Public
ลงทุน (risk spectrum) เดียวกัน ต้องได้รับมติเสียงข้างมากของแต่ละกองทุนรวม (2) กรณีควบรวมกองทุนระหว่างกองทุนรวมที่มีนโยบายการลงทุน ความเสี่ยง และระดับความเสี่ยงของการลงทุน (risk spectrum) แตกต่างกัน ต้อง
activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
. Sales reports – issuers are required to report the sales of debt securities to the SEC within the required timeframe. Post-offering obligations – issuers are required to make complete, timely and accurate
responsibilities that go beyond the scope of auditor's work, as the International Standards of Auditing (ISA 240 - The Auditor's Responsibilities Relating to Fraud in an Audit of Financial Statements) has covered