service for investment in mutual funds; and (5) demonstrate readiness in terms of financial condition, operational systems and human resources.?The new type of selling agents will not only promote
exchange must be qualified and recognized as prescribed by the SEC (established exchange). The last category includes foreign equity offering not fall within the said two categories. The proposed rules aim
countries, namely Cambodia, Laos and Myanmar, currently not regulated by members of International Organization of Securities Commissions (IOSCO) or not traded on the member markets of the World Federation of
. (WHA) would rise or fall, and such information had not been disclosed to the Stock Exchange of Thailand (SET).Following a referral from the SET and the SEC?s further inspection, it was found that Somyos
trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
, the multi-class structure offered by existing mutual funds must not prejudice the right of existing unit holders. Details of the proposed structure must be defined in the amended investment fund scheme
and lease back of premises categorized as operating lease in the annual financial statements. The SEC is of the opinion that the above transactions were in fact a collateral loan, not an outright
the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the normal market conditions on purpose to lure the general public to
risk to customers' assets. The operation shall be obtained the approval from the SEC prior to the operation, but Zipmex did not do so. Accordingly, the act of Zipmex did not operate other than the