product. This new regulation allows service providers to use the single form with investors of any products while reducing investors’ burden of filling in repetitive information when opening a new
different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the
The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that
indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance
ESG ตอบโจทย์เป้าหมายการพัฒนาสู่อนาคตที่ยั่งยืน และแนะนำผลิตภัณฑ์การลงทุนเพื่อความยั่งยืน กองทุนรวม SRI fund (3) CO-WEALTHY SPACE : พื้นที่สันทนาการพูดคุยกับเจ้าหน้าที่ในบรรยากาศผ่อนคลาย โดยมีเครื่องดื่ม
indicate that the system of quality management is insufficient. 2) Systemic, repetitive, or other significant deficiencies that require prompt corrective action B2 Does the firm establish the criteria and
subjected person to undertake or refrain from undertaking any action in order to rectify or prevent any repetitive violation or noncompliance with the Act, rules, orders or conditions specified under this Act
power to impose one or several sanctions and shall also have the power to order the subjected person to undertake or refrain from undertaking any action in order to rectify or prevent any repetitive