.   Asset management companies are required to state which liquidity risk management tools they choose to use clearly in the investment management scheme and in the fund prospectus

having medium to high risk level without  principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete

public offerings of two issuing companies concerning filing of application for approval for public offering of shares, registration statement, and draft prospectus (filing).Akekajak failed to perform due

offering of investment units issued by general mutual funds in Thailand, such as the requirements on prospectus, fact sheet and annual report. In addition, a local representative or representative office

draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case

Prospectus (the ?Framework"), pursuant to a Memorandum of Understanding (MoU) signed on 3 March 2015.The establishment of the Framework coincides with the 23rd ACMF meeting in Kuala Lumpur hosted by the SC

instance, fund management may be outsourced up to 20% of AUM of each asset management company and must be clearly disclose in the prospectus. In case of private fund management, consent of the client is

persons while details of the allotment must be disclosed in registration statement and prospectus. For an IPO, shares may be allotted to the related persons up to 25 per cent of total offered shares.  In

level without  principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete and accurate information in

statements and concealing facts that should have been stated in the registration statement and draft prospectus submitted to the SEC Office, which included falsified financial statements for the year 2021 and