information necessary for decision making.?The key points of change include the requirement for the fund title and the advertisement warning to clearly state that returns are not guaranteed and pre-maturity
The move follows the Commerce Ministry’s decision today to declare the whole IFEC board of directors consisting of only the three named individuals. On 7 June 2018, the Commerce Ministry’s
and Governance (ESG) efforts that supports investors in their investment decision making. SEC Secretary-General Ruenvadee Suwanmongkol said: “Building an ecosystem conducive to sustainable growth of
rights and benefits of securities holders or the decision making of investors, the SEC, by virtue of Section 58(2) of the Securities and Exchange Act B.E. 2535 (1992), has therefore ordered MORE to clarify
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
significant operations of the activities. Some of significant rights of the shareholders are: Rights before a decision to invest Rights as a shareholder SEC and Investors Be Wary of Investment Fraud
presented the study on Thai equity fund performance and information of which investors should learn prior to making decision to invest in funds. The Forum was hosted under the Memorandum of Understanding
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working
information for investment decision making such as condition of non- guaranteed by the Ministry of Finance, source of fund for debt repayment and business nature for risk assessment. Like private issuers