out derivatives positions before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of
must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together
associated and investment returns will be clearly and sufficiently included in prospectus. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are
useful contributions to the issuing company clearly and continuously, and to limit the collective shareholding of all patrons and related persons up to 25 percent of the IPO shares sold; 2. To shorten the
Thai investors are not allowed to invest in foreign-currency investment units offered in Thailand. The asset management companies, therefore, must clearly clarify that the products are offered only to
cover at least the following managements and systems: (1) determining strategies, policies, objectives and operational procedure clearly, thoroughly and obviously; (2)3 determining organization structure
clearly, thoroughly and obviously; (2)3 determining organization structure, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having
concealment of facts that should have been notified explicitly in material matter that may affect the decision making of the shareholders, investors or connected persons; 3. unfair treatment or exploitation of