persuaded clients to invest in funds and withdrew large sums of money from the clients’ accounts. However, she did not make any investment transactions in accordance with the clients’ intention and
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
listed companies have sold or planned to sell their assets to mutual funds or REITs. The transactions are usually huge in size and value and some of them allow listed companies or subsidiaries to lease
choices in fund of funds with policy to invest in permissible products and a variety kinds of investment products denominated foreign currencies.Meanwhile, to enhance the business operator?s competitiveness
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
investment units, debt securities, equities, derivatives and provident funds. Instead of doing the suitability test prior to every investment in new products, investors can do one set of the test for
back office possessing important information of funds and customers will be allowed to outsource only to the business operators? subsidiaries or financial institutions. Outsourcing to other licensed
investment decision-making; such as date and offer price, earnings per share, and price-to-earnings ratio is also at your fingertips. Ten mutual funds categorized by investment policy are put in ?Mutual Fund
risk reports and mutual funds? performance to the board of directors on a regular basis.In this connection, the asset management companies must fill in the due diligence checklist before investing in or