channels, and service of high risk or complexed products. The consultation paper is available until January 31, 2014.The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and
execution against related company, (2) high-interest rate loan agreement with related company, (3) other transactions with related company, (4) THL asset management, and (5) THL internal control. The said
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
standards, the ASEAN Debt Securities Disclosure Standards, for public offering. In case of the offerings to institutional or high net worth investors, only a minimum free-form disclosure is required. However
-General Thirachai Phuvanatnaranubala said: ?It was found that many securities companies had high proportion of proprietary trading during the first half of the year. However, as such trading value was
investor”, “ultra-high net worth investor” and “high net worth investor” shall have the same definitions as specified in the Notification of the Securities and Exchange Commission concerning Determination of
Bangkok, February 9, 2012 - The SEC has closely monitored the incident on December 30, 2011 where net asset value ("NAV") of domestic mutual funds investing in offshore ETF was irregularly high. The
company?s shareholders. ?The SEC promotes holding company with high potential to raise funds through the capital market and list on the Thai bourse, as not only will more attractive listed firms on the
public and high net worth investors would have to be investment grade products only. This is primary quality screening of the bond issuers to check their capability of repaying obligations because such
Complex Instruments Type 2 is allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g