Regulations SHARE : Detail Content Mutual Fund A mutual fund is a significant investment alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they
Regulations SHARE : Detail Content Mutual Fund A mutual fund is a significant investment alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they
throughout the term of the bonds. 4.3 There is no ground to suspect that the lead regulator of the capital market of the country wherein the issuer is established is unable to provide an assistance to the SEC
statements or related reports to the SEC/ SET. 5. A representative is appointed in Thailand throughout the term of the bonds. 6. There is no ground to suspect that the lead regulator of the capital market of
> Debt Instrument Regulations SHARE : Detail Content Debt Securities Debt securities provide a financing alternative which can reduce cost of funds paid to financial institutions. Issuers may
severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
holder CAIA Association Chartered Alternative Investment Analyst, awarded in 2011 and a current charter holder Current Appointment Deputy Secretary-General, SEC Experiences Securities and
) International Forum of Independent Audit Regulators (IFIAR) ASEAN Audit Regulators Working Group Cooperation with Foreign Regulators Alternative Investment Fund Managers Directive (AIFMD) International
arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of
Office on a suspicious ground related to disclosure of information to the public and such information was incomplete, contrary to facts, insufficient for making an investment decision, or misled investors