funds to accommodate these funds with the following rules, for example:- Unitholders must invest in provident funds only;- The number of unitholders which is at least 35 must be waived;- They must not
an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor, and maintenance of capital reserves in accordance
manage their business with more liquidity and efficiency, as well as to alleviate their burdens and costs in related to their operation of their businesses, for the quickly ever-changing business
have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such
Following the tips from various sources to SEC, it has been found that there are several solicitations via social media platforms such as Facebook and YouTube for investment in seven products that
Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol
accounts for themselves. ______________________ * Clause 23(1) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the
for Capital Market committee, established by SEC after introducing the “DLT Implementation as Digital Infrastructure of Capital Market” program in last September, is comprised of representatives from
companies. Additionally, the TLCA serves as a representative for listed companies in coordinating and monitoring the amendments to various regulations issued by regulators. This is to ensure that listed
insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited