, from the board of directors (including the investment committee) to the management and staff of relevant business units; Principle 2: Institutional investors should prevent and manage conflicts of
delivered the same to clients as evidence. In addition, it was found that she deceitfully sold investment units of clients and revolved funds from other clients to return to clients in many other accounts
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
exploitation of this channel for the benefits of certain person or group of persons.Mr. Vorapol Socatiyanurak, SEC Secretary-General, said ?In establishing a retail fund, its investment units should be dispersed
, units of ASEAN collective investment scheme (ASEAN CIS) will be added as permissible securities. The revision, to become effective by November 2014, aims at supporting competition among business
services that may involve with electronic units named "DB coin" or "DB token", blockchain systems and other businesses.Those actions might be considered as persuading and issuing newly issued securities
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds for institutional investors or ultra-high net
regarding units of REIT, if indirect investment in real estate is made through shareholding of other companies, REIT must hold not less than 99% of the total sold shares and of the total voting shares in
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