perform duties or provide services with honesty and good faith. Specifically, (1) he requested and used client’s mutual fund trading account to conduct investment transactions in mutual funds under the
investment funds in accordance with the rules of the Bank of Thailand and other applicable laws, among others.SEC Secretary-General Ruenvadee Suwanmongkol said, “SEC has a policy to support and allow investors
characteristics, for example, investment units of mutual funds offered for sale to institutional investors or ultra-high net worth investors, investment units of mutual funds investing in derivatives, hybrid
discipline, e.g., mutual funds requiring consistent and continual savings, (ii) mutual funds for particular investment objectives, e.g., mutual funds for child education, (iii) semi-mandatory mutual funds for
on all types of complex, non-complex and high-risk capital market products, e.g. investment units of mutual funds offered to institutional or ultra-high net worth investors, investment units of
instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds
the business providers, including the information of the mutual funds, private funds, and provident funds, especially in regards of investment statuses, strategies of funds, and the concentration of
investors’ understanding and assessment of whether the mutual funds meet their investment needs and mitigate the risk of greenwashing. ** The fee exemption applies to the 100,000 Baht application fee for
promote fundraising and investment in investment tokens and to support interested securities business operators in providing services related to the said products. This in turn would increase access
enables employees to choose their own investment policies. To ensure the objective of provident fund for retirement savings, the SEC is revising employee?s choice regulations to provide the funds and its