prescribed additional qualifications of principle valuers for transactions in capital market. The applicant intending to seek the SEC?s approval must pass the examination of Scholastic Management Aptitude
. Moreover, Mobile App ?start-to-invest,? a new stylish investment tool available for free-of-charge download on App store, will be also introduced. Visitors can also seek advice relating to investment and
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
, underwriter will be required to seek client?s information sufficient to learn of client?s investment objective and understanding on the product. For the purpose of flexibility and practicality, underwriter is
. The SEC, therefore, urges the shareholders to study relevant information carefully and seek clarifications from the IFEC management before exercising their voting right to ensure that appropriate
provident funds to seek more returns. The amendments are in line with international pension standards and adhere to the principle of assets stability and risk diversification of investment to safeguard
. The existing approval scheme, on the contrary, requires the issuer to seek approval and file full form of registration statement for every offer which could affect fundraising plan, costs and need of
number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the
(PAP) through the trading account of another person to seek unlawful personal gain.Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation has revealed that on
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