securities clients.Essentially, securities companies and derivative business operators would be allowed to invest their clients? assets in money market funds as well as bills of exchange and promissory notes
individual, in particular tax privilege; and (iii) any person or group of persons will not be allowed to dominate mutual fund management.Key proposed revisions require retail fund and money market fund to
sector fund must pay dividend to unitholders the entire amount of return obtained from Thai property fund in any accounting period. Omission of dividend payment is, however, allowed in the accounting
, the SEC allows issuer and intermediary to offer for sale of complex or high risk financial instruments to AI. However, certain products permissible for AI are allowed to offer to retail investors
allowed to apply for derivatives brokerage license limited to precious metals while licensed gold futures brokers will also be eligible to apply for such license to expand their brokering service to silver
are not the SET members will be allowed to send trading orders through the SET ?s trading system in cases where such system is linked with others, such as that of foreign exchanges. Also included in
will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the
time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept
statements. Thus, there was no plan or time allocation to audit the 2012 rectified financial statements for submission to the SEC by June 26, 2014. The SEC therefore allowed STHAI to submit the rectified