English (United States) Limitations on Unit holding × Home > Laws/Regulations > Regulations > Mutual
English (United States) Limitations on Unit holding × Home > Laws/Regulations > Regulations > Mutual
fund ("One-Third Rule"). As there is no such One-Third Rule in other ASEAN countries, the proposed revision aims to facilitate Thai investment management companies by exempting the said Rule from unit
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
.,Ltd to the address changed by her request. In case of the second client, Thanjira had signed the client?s name for submission of investment unit switching and buying orders and changed the address for
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
Statistics of approved investment analysts / investment consultants Please wait... Statistics of approved investment analysts / investment consultants Type of License April 2021 May 2021 June 2021
mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit
? money intended for payments of investment unit purchases for personal gains.In so doing, they did not execute their clients' purchase transactions via the bank system, counterfeited fund passbooks and
carefully before making an investment decision. In any case, the execution of a unit buy/sell transaction by any person other than the account owner must be authorized in writing in advance