information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses inside information related to a securities issuing company Nature of the acts Purchase
information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses inside information related to a securities issuing company Nature of the acts Purchase
management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a group of persons with a number of not over 35 persons; (2) The private fund management company
management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a group of persons with a number of not over 35 persons; (2) The private fund management company
liabilities and risk haircuts – to ensure that there are sufficient liquid assets to absorb losses, maintain stable financial status and, in the event of insolvency, prevent damage to client assets and the
has been executed, the private fund management company shall disclose the following information to its client: (1) Assessments of performance results of the private fund; (2) The name of the
has been executed, the private fund management company shall disclose the following information to its client: (1) Assessments of performance results of the private fund; (2) The name of the
Association of Investment Management Companies Regulatory Summary The provisions under Trade Association Act B.E 2509 regarding the operation, control, dissolution and the penalty provisions are applied
รับและการคงไว้ซึ่งความสัมพันธ์กับลูกค้าและงานที่มีลักษณะเฉพาะ (Acceptance and Continuance of Client Relationships and Specific Engagements) การปฏิบัติงาน (Engagement Performance) ทรัพยากร (Resources
of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an investment portfolio 3