Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “This legislative amendment involves improvements across multiple areas, from increasing efficiency in short-selling supervision to ensure
shareholders after the IPO such as the number of shares and proportion of the shareholding after IPO, including the number of shares that are prohibited from selling under the locked-up requirements; and 2) the
the Association of Securities Companies (ASCO), regarding clients’ short selling transactions. The SET agreed that such review should be conducted in alignment with the current contexts and to ensure
ระดับการทำหน้าที่ของของผู้เกี่ยวข้องในตลาด 2) การสร้างความเป็นธรรมในธุรกรรม Short Selling และ Program Trading และเพิ่มความโปร่งใสของธุรกรรมในตลาดทุน 3) พัฒนาการสินทรัพย์ดิจิทัลในไทย บนเส้นทางสู่เศรษฐกิจ
, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse
investors can better understand the fund features and investment risks. Meanwhile, rules on selling practice of investment consultants have been revised accordingly.The consultation paper can be found at
include:- Adjusting the investment unit value to reflect the costs incurred from selling or buying assets in the fund portfolio,- Charging additional fees from the buyer/seller of investment
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
transactions as selling off the said assets will cause ADAM to be considered as a cash company. As a result, ADAM might be posted ?NP? (Notice Pending) by the Stock Exchange of Thailand (SET) prior to being
securities (securities company and commercial bank with securities underwriting license) know individual client before selling client any product through suitability test. The test will be beneficial to