institutional investors without requiring to assess the qualifications of the underlying clients for investor classification purposes*. This approach is based on the fact that private funds are managed by

}. However, after fact examination, it was found that there was a reasonable ground to believe that the actual payment for the purchase of the land and the office building was 40 million baht, and the

reducing the deposit limit in cash or cash equivalent of any specific issuer (single entity limit) from the previous 20 percent to 10 percent, and (2) requiring more disclosure in the fact sheet of

the criteria in order to keep it current.  Consideration is given to the fact that the rates of fee should be equivalent, simple, and appropriate for the capital market environment , for example

) fact sheet of the offering, business overview, financial condition and operating results, (2) risk factors to get an idea of what kind of potential risks that may affect the issuer, (3) related party

SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators  through the use of principle-based regulations due to the fact that business

First application and website: www.sec.or.th/licensecheck. Further inquiries and signs of suspicious activities can be sent for fact-finding to the “SEC Help Center” via telephone hotline 1207 or SEC

investment consultant for 6 months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014 which is less than 6 months, the suspension was then imposed

เลือก บลจ.(checklist) และสรุปข้อมูลสำคัญ (fact sheet) สำหรับการคัดเลือก บลจ. และการเลือกนโยบายการลงทุน จัดทำรายงานติดตามผลประกอบการของกองทุนเพื่อใช้ประเมินฝีมือของผู้จัดการกองทุน การนำเสนอนโยบายการลงทุน

with specified criteria including distribution of offering circular (fact sheet) prepared in Thai. The consultation paper is available on the SEC website at www.sec.or.th. The draft regulation includes