had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in

include listed securities and investment units of open-ended funds with daily redemption feature, except investment units with transferable restrictions. In any case, such repo transactions would have to

emerging market situations.SEC has proposed to revise the guideline on maintaining liquidity of fixed income funds in order to match their redemption and settlement policies by requiring fixed income funds

of Investment Units dated 20 July 1992, and (2)  Notification of the Office of the Securities and Exchange Commission regarding Appointment of Investment Unit Selling and Redemption Agents dated 6

to the following cases taking place at different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual

be long-term equity funds (LTF), retirement mutual funds (RMF) or exchange traded funds (ETF);- Redemption of investment units can be paid by securities and other assets in lieu of cash.The

suitable for timely redemption upon clients? demands.The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments through the website, or

redemption of instruments.The consultation paper and draft regulations are available on the SEC website at www.sec.or.th. Stakeholders and the interested public are welcome to submit comments through the

guarantee of returns, and that unit redemption ahead of the target date set in the investment scheme is not allowed must be clearly communicated to investors.In addition, advertisement based on past

units as of the end of the business day of the calculation; “selling and redemption supporter” means any person designated by a mutual fund management company to sell or redeem investment units, as the