Currently, a large number of intermediaries provide investment products and services. They each tend to require investors to fill in a lot of information via various, different forms to open an

consultants to the program. Important factors for driving forward the program towards its goals require collaborations from all sectors, in order for this program to develop and to increase the efficiency

code of ethics for SEC workforce in line with the intention of the Ethical Standards Act. The drafted code of ethics contains regulations which require the workforce to perform work and uphold ethics

problems and developing the well-being of the community, society, public health or the environment, without pursuing the highest returns for shareholders. Since the rule would require that social enterprises

Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities

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

client. Comments and suggestions on the matter are welcome until March 30, 2012. The proposed regulation will require underwriter know individual client before selling client any product. For retail client

) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact sheet must be

(DW) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact

the Deposit Protection Agency Act B.E. 2551. The revision will require securities company or derivatives broker to deposit client?s money with commercial banks or invest in promissory notes and bills of