Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision

Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the total sold units, but asset management companies are still required to disclose information regarding unitholding over the one-third rule to investors and such unitholders are not allowed to exercise their rights of voting for the units they hold beyond the one-third rule. In addition, business opera...

and investment communities duly gave comments.This time, SEC makes eight revised draft notifications in accordance with the proposed principal. Regarding the management of property funds and the

to safeguard investors’ interests. SEC has revised the following five notifications, namely, (1) The draft notification relating to the investment of mutual funds, (2) the draft notification

SEC Secretary-General, Nataya Niyamanusorn said, “SEC has seen the wealth advisors having important role for the investors because they could make the investors realize financial planning as a

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

Maintenance of Capital of Investment Advisors and Derivatives Advisors