SEC has revised rules to make it easier for companies to engage in this business, for example, abolishing the rule requiring unit-selling agents to sell investment units of different management
determines that FA independence will be impaired in cases where FA or commercial bank in the same conglomerate has granted a loan to any securities issuer or sponsor disposing asset into real estate investment
Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol
requested the selling of SCB Open-end Long Term Fund Dividend 70/30 in a portion that met the minimum of 5 year investment. A bank officer who was not an investment consultant processed the selling of
client had ordered to sell 50,000 shares at 19 baht per share on February 25, 2014 but {A} instead submitted the selling orders for 49,000 shares at 17.50 baht per share. {A} admitted doing such action
executives, and staffs who are in relations to stocks and REIT underwriting deals, from selling them for a prescribed period of time after listing. This prohibition aims to prevent conflict of interest as the
groups more efficiently, and procedures for clearer communication between selling agents and investors. The relevant regulations cover four key areas, namely: (1) the organizational structure, the roles
standard qualifications of salespersons. On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as
units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment