based on existing key principles aiming to ensure that (i) retail fund?s investment units will be allocated to general investors; (ii) retail fund will not be used to seek undue benefit for any particular
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross- border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
and answers about the channels for investors to receive additional information about the mutual fund. Clause 12 The particular on risk factors of the mutual fund shall disclose information about the
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in
Notification; (3) to allow the SEC Office to ensure compliance with this Notification, require securities clearing houses and central securities depositories to submit to the SEC Office reports or any particular
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any