Term fund is highly popular among investors, asset management companies and commercial banks. As of the end of Q1/2019, the total net asset value was approximately 770,000 million baht and 96 percent of the term funds were offered to retail investors. The key specific characteristics of term fund are the inability to redeem investment units before maturity date and the possibility of concentration risk due to investment in products of any single issuer. Under such conditions, a credit ri...

Currently, asset management companies have roles in reporting their portfolio outward foreign and derivatives of mutual funds and provident funds  to both SEC and BOT on a monthly basis. In order to reduce the asset management companies’ reporting burdens, SEC held a discussion with BOT and reached a joint decision that BOT would use information in the report that mutual fund and provident fund operators file with SEC, instead of using BOT’s portfolio and derivative  investment aboard (PI...

and products, smart investment based on risk profile, basic portfolio building, how to exercise investor rights to avoid frauds and scams. There are also edutainment activities such risk-taking games

securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to

securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to

suspension) ? advising a client to divide his money into multiple less than two-million baht deposit transactions to a bank account of the securities company where the client had a trading account to evade the

, the first and third quarters of 2013, and the year 2013 in order to avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The public

had to settle the purchase order before regular settlement period in order to avoid force selling. This action was considered that Wiroj failed to inform sufficient information by concealing important

purchase order before regular settlement period in order to avoid force selling. This action was considered that {A} failed to inform sufficient information by concealing important information that might

decisions on the client?s behalf to avoid payment for the same-day purchases of securities. In another case, he arranged for a client cash transfer into a bank account of the company he works for through