, 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
cancellation of a major construction project. Based on such inside information, he was able to avoid loss by selling 8,651,400 of TIES shares off the trading account of Ornsiree, his daughter during 19 May 2014
เพื่อให้เพียงพอต่อการให้บริการผู้ลงทุนในฝั่งกระบวนการขาย จะมีการปรับปรุงกระบวนการขายให้มีประสิทธิภาพเพื่อป้องกันการเกิดการขายผลิตภัณฑ์ที่ไม่เหมาะสมหรือผิดประเภทกับผู้ลงทุน (mis-selling) ทั้งในกระบวนการ
is any securities holder selling securities in the offer. The said conditions include prohibitions from (i) purchasing or acquiring securities of the business at the price higher than that specified in
been set up and offered investment units to the public.?State enterprises can mobilize fund by setting up infrastructure funds in a pattern suitable for their own organizations; for instance, selling