product. This new regulation allows service providers to use the single form with investors of any products while reducing investors’ burden of filling in repetitive information when opening a new
different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the
(2008), ESMA (2016), Cremers (2017) Holding-based Performance-based Holding-basedActive share Active share Tracking error Pure Indexing Concentrated Stock Picks Diversified Stock Picks Closet Indexing
The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that
The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that
indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance
short-term issues with the value of short-term issues totaling 1,184.85 billion baht. However, the bond issuers concentrated in a few business sectors whereas the small and medium sized companies rarely
indicate that the system of quality management is insufficient. 2) Systemic, repetitive, or other significant deficiencies that require prompt corrective action B2 Does the firm establish the criteria and
establishment, market development had concentrated more on the secondary market where trading of transferable securities was the main activity than the budding primary market where businesses issued securities
Additional rules in case of concentrated allocation Concentrated allocation is allocation to any person more than five percent of the approved number of shares, which must comply with additional rules as