such underlying securities while underwriting them. The relaxation aims at facilitating the brokerage firms to better manage risks associated with issuance of the instruments while the firms are required
by the said issuer or sponsor, respectively.Besides, relaxation of rules is also proposed to allow FA to provide service for securities issuer or sponsor in cases where staff of FA?s investment bank
total number of REIT units sold, the limit applicable to other unitholders. The relaxation aims at enabling trustee participation in firm commitment deals of underwriting REIT units. The above amendments
, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved the relaxation on rules applicable to mutual funds for AIs (institutional and high net worth investors). The relaxed
Chinese wall to prevent conflicts of interest among their business units must be in place. The relaxation will also extend to the commercial banks? subsidiaries. With regard to an application for
a general approval for individuals who have been ready to perform the duties of PF/DF marketing agents, (2) the relaxation of work system requirements to focus only on those essential for duty
definitions of ultra high net worth investors (UHNW);(2) relaxation of ratio and product limits for mutual funds which are offered to institutional investors and UHNW whereby investment in any type of financial
million baht is 25.61 million baht too expensive. Instead, an appropriate price should be 141.89 million baht. Besides, it is uncertain whether the property development project will be a definite success
Office of the Securities and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By