principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
the issuer to support sufficient distribution to retail investors.The proposed amendments have taken into account stakeholders? opinions received from the hearing on the guiding principles conducted in
Bangkok, January 12, 2015 ? The SEC supports asset management companies to raise their competitiveness with more distribution channels, new types of mutual funds and join business development in the
rent to variable rent, and instead requiring the fund/trust to disclose to investors what is the minimum fixed rent of an asset; (3) Amending the rule on the distribution of benefits or dividends to
Bangkok, February 17, 2016 ? The SEC is seeking public comments on proposed amendments to the initial public offering (IPO) rules. The amendments aim to facilitate sufficient share distribution to
, trust will be exempted from income tax while distribution from trust to unitholders will then be taxable. Unlike investment in infrastructure fund which is of benefit to Thailand, however, unitholders of
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members