The SEC meeting 1/2540 dated January 9, 1997 resolved to approve criteria on the establishment and management of property fund offering investment units for sale to the public. The Office completed
SEC plans to revise rules on sale conducts for investment units after a survey of 55 branches of 18 commercial banks in Bangkok area indicated necessity for improvement particularly in relation to
succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal
SEC has revised rules to make it easier for companies to engage in this business, for example, abolishing the rule requiring unit-selling agents to sell investment units of different management
Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the
repo agreements of listed securities and investment units with both institutional investors and non-institutional investors. Thus, securities companies and investors will be able to use such repo
months and twelve days (while being suspended by KT Zmico Securities Co., Ltd.; she has still performed investment consultant duty as an investment units sales representative at another company until
units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
investment in (i) the companies in such employer?s group and (ii) investment units of mutual funds and trust units of trust having main objective to invest in the assets of employer?s assets and the companies