information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
Professionals > Financial Advisor Regulations SHARE : Detail Content Financial Advisors A Financial Advisor (FA) has a crucial role in selecting and screening qualities of companies to be listed in the
: Annual Registration Statements (form 56-1) and Annual report (form 56-2) Important information that must be disclose are, such as, Risk factors Type of operation Capital structure Management structure
remain constant, the mutual fund management company shall adjust the number of the investment units according to the changes in NAV or the investment unit values. Authority of the SEC Fund managers Mutual
about the case. (5.2) In the case that the incorrectness occurs after the adjustment of the investment price to remain constant, the mutual fund management company shall adjust the number of the
securities and whether they are offered privately or publicly. These are important factors to determine the level of impact: Type of securities Who offers the securities Nature of offers Regulations New
the SET 5. Other criteria Criteria for authorizing IPO The past five years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important
between two financial markets. The HK-TH MRF marks an important milestone in the bilateral cooperation between Hong Kong SAR and Thailand, following the Memorandum of Understanding on Strengthening Economic