units of mutual funds with investment in derivatives, hybrid securities, and structured notes. ***Saowarat’s application for obtaining SEC approval to be personnel in the capital market business during
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
institutional or ultra-high net worth investors, investment units of mutual funds with investment in derivatives, hybrid securities, and structured notes. *** Sareerat’s applications for obtaining SEC approval
, investment units of mutual funds with investment in derivatives, hybrid securities, and structured notes. ***Teerasak’s application for obtaining SEC approval to be personnel in the capital market
The Securities and Futures Commission (SFC) and the Securities and Exchange Commission of Thailand (SEC) have entered into a Memorandum of Understanding (MoU) on Mutual Recognition of Funds (MRF) to
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
of credit risk to comply with international standards. Besides, pre-approval requirement for investment in SN will be removed.In addition, the funds investing in complex derivatives and SN will be
SEC revealed that at the 7th ARFP Working Group meeting, the progress of opening a funds passport was discussed. The member countries that are ready to submit a request for approval for sale are
following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a