sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with
has long been assumed that in times of market bubbles, rational investors, which are able to on average, properly discount future cash flows of corporations or other financial assets are consumed by
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
involved agreed with the principles proposed by the SEC and added the principle of flexibility, in order that the business operators will be able to put this into practice effectively. The public hearing
market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
managers incorporate sustainability factors in their investment process. Consequently, investors may not be able to compare between mutual funds with similar sustainability mandates and, as a result, may
concept of ‘climate stewardship’. The on-going dialogue with investee companies is a powerful tool to encourage them to have effective oversight of climate-related risks that may affect the long-term value
concept of ‘climate stewardship’. The on-going dialogue with investee companies is a powerful tool to encourage them to have effective oversight of climate-related risks that may affect the long-term
be able to offer for sale of shares to this type of investor without limitation on offering amount. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are