basic asset allocation as prescribed in Clause 34. In the case that the clients wish to invest or enter into transactions which do not comply with the results of the suitability or advice on basic asset
changing categorization to be treated as retail investor. Clause 34 For the purpose of assessing suitability for investment in or entering into a transaction of capital market products, an intermediary
market, directly or indirectly. And publicly listed companies provide for more than 200 million jobs. The Principles also address the rights of these stakeholders and their ability to participate in
investment policies” means a provident fund which employs more than one investment policy, whether it is a single fund or a pooled fund; “single fund” means a provident fund established for employees of a
hundred million baht or not less than ten percent of the total units which such persons wish to sell, whichever value is the lower; (3) the approved person shall establish a REIT by transferring the total
operation monitoring. 5.1.2 The board should nurture innovation that enhances long-term value creation for the business in a changing environment. Such innovation may include designing innovative business
shares offering which includes but not limited to: 1. Allotment of shares new shares once or in series, time frame of the offer, finding investors, changing the names and number of shares has been allotted
Dialogue Clarifies the “Investor Voice” ................................................................................................... 27 Considerations When Leading or Joining a Collaborative
around the globe become increasingly linked, our capital market is faced with new opportunities and challenges. In light of this fast changing environment, the Securities and Exchange Commission (SEC) in