person in charge of mutual funds? investment and might learn of the funds? investment information as well as those having duty to send trading orders. The business operator must seek the SEC approval for
., Ltd. but he kept repeating the same mistakes.Investment consultants must keep taped evidence of their investment advice and a client's trading orders when obtaining derivative trading orders from
has been founded at the beginning of the most recent accounting period and the latest quarter financial statement, providing further that such financial statements must conform to the accounting
has been founded at the beginning of the most recent accounting period and the latest quarterly financial statement, providing further that such financial statements must conform to the accounting
shares in the SET50 Index to those in the SET 100 Index, providing that quarterly average market capitalization value of the 51th-100th shares in the SET 100 index must be no less than 10,000 million baht
orders from her clients and has already been cautioned two times by SCB Securities Co., Ltd. and the SEC.An investment consultant must keep tape evidence of all investment advice and a client's securities
required to employ Value-at-Risk (VaR) approach in determining global exposure to better reflect market risk. Also, the funds must run stress test and back test along with disclosing information on VaR in
, underwriters must put in place an effective conflicts of interest prevention system. This aims at facilitating under the current circumstances.Meanwhile, the SEC supported investors to have adequate and ongoing
Understanding (MoU) where Suzuki Motor Corporation planned to purchase from the said sellers the shares of Thai Suzuki Motor Co., Ltd. The MoU prescribed a condition that the sellers must proceed to either close
. The REIT supervision would be relatively similar to that of listed companies. For instance, an acquisition or disposition of key assets and related-person transactions must be approved by the trustee