have revealed that he confirmed with a customer that the RMF units the customer had bought in 2011 were redeemable without breaching the terms and conditions of the tax benefits. However, the actual
of securities public offering ("the applicant") as follows: 1. Incomplete disclosure concerning reliance on the applicant?s major counterparties, which might have been misleading. The applicant?s
recommended to grant loans for investment in the businesses that prospective borrowers have no expertise because business operators can be tempted to make short-term profits from investment in the businesses
Bangkok, January 20, 2011 ? The SEC regulations on establishment and management of infrastructure fund have become effective since January 16, 2011. Asset management companies and the investing
SEC of its consideration regarding the Public Limited Company Act that the chairman of shareholders? meeting has no power to disallow shareholders who have the rights to attend and exercise votes at the
research on the topic, ?Thai Investor Clusters and Their Financial Literacy? that new generation investors in general are more financially literate than older investors and cash holders, and have a more
in Sopana to have characteristics prohibited for capital market personnel, the SEC therefore revoked her status as an approved fund manager.Furthermore, the SEC instructed all asset management
companies have already started to provide this type of service for their clients as ASEAN stock exchanges have started their trading linkage. Programmatic trading, in particular HFT, has become quite popular
behavioral finance in issuing the regulations. For instance, the regulations governing investment consultants and investment planners making direct contact to the customers have been strengthened by requiring