the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years
) fund, which is managed by a person who has been named in a complaint filed by a foreign regulator on account of managing investment without approval. If approached with a solicitation to invest in
provident funds; (2) Asset owners such as the Government Pension Fund, the Social Security Office and insurance companies; (3) Related service providers such as fund supervisor, custodian and investment
> Mutual Fund > Offering of Investment Units Regulations SHARE : Detail Content Offering for Sale of Investment Units Summary of regulations The initial public offering (IPO) period shall not be
> Mutual Fund > Offering of Investment Units Regulations SHARE : Detail Content Offering for Sale of Investment Units Summary of regulations The initial public offering (IPO) period shall not be
choices in fund of funds with policy to invest in permissible products and a variety kinds of investment products denominated foreign currencies.Meanwhile, to enhance the business operator?s competitiveness
(THAILAND) LIMITED MUANG THAI LIFE ASSURANCE PUBLIC COMPANY LIMITED MACQUARIE SECURITIES (THAILAND) LIMITED UCAP INVESTMENT ADVISORY COMPANY LIMITED UNION WEALTH MUTUAL FUND BROKERAGE SECURITIES COMPANY
Bangkok, September 25, 2015 ? The SEC aims to promote the use of technology to provide more access to the capital market for fund mobilizers and investors through crowdfunding and automated
provide. Capital market plays a significant role in the economy and is one of the key drivers of sustainable growth in Thailand. To further support sustainable investment, we have extended the fee exemption