, Thailand (SEC) and the Singapore Exchange (SGX) have signed a Memorandum of Understanding (MOU) to establish a Streamlined Review Framework for the ASEAN Common Prospectus. The Streamlined Review Framework
disclosure related to the DW prices for the benefit of investors? decision-making.While DWs have become a more popular choice of investment, an SEC research has shown that sufficient disclosure of useful
-redemption rate must be accompanied by the following statements: (a) in case of mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
shall also disclose the used assumption in the manner that is clear and easy to understand; (7) the estimated return or auto-redemption rate must be accompanied by the following statements: (a) in case of
that the applicant had transferred all shares of such company to a third party despite various factors indicating that the transaction may not exist. This would lead to incorrect and incomplete
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
proportion without issuing a TSR to any shareholders that would cause listed companies to have a duty under any foreign law, as approved by a shareholders meeting. SEC has made the public hearing document
found that Bantherngsak gave 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