conditions must be put in place. “This regulatory amendment will open up opportunities for interested entities to set up and manage a high yield bond more flexibly within a permissible scope. Once
; (2) Clause 20 of the Draft Notification of the SEC Office No. Sor Nor. /2564 Re: Rules, Conditions and Procedures for Managing Mutual Funds for Retail Investors, Mutual Funds for Non-Retail
Commission No. Kor Thor. 18/2564 Re: Rules, Conditions and Procedures for Undertaking Digital Asset Businesses (No. 11). After publication in the Government Gazette, the Notification has become effective
) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to
client due diligence ? e.g., clients? investment objectives, personal conditions and risk tolerance ? before giving advice, attached with supporting reasons, on suitable funds for their investment. In
Bangkok, 8 November 2017 ? In the continued effort to develop the bond market, the SEC is revising the relevant rules and regulations to better respond to the changing market conditions and investors
conditions are met, improving the liquidation rules of mutual funds to make it more practically expedient. Moreover, changes were also made to the notification relating to the establishment of money market
program trading including the trading conditions. A key operating system compatible for the undertaking of private fund management must also be established to ensure that intermediaries will be able to
conditions under the contract made with the responsible securities company. Thus, investors should be fully aware of risks associated with such specific type of trading