Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to
percent of the term funds were offered to retail investors. The key specific characteristics of term fund are the inability to redeem investment units before maturity date and the possibility of
development of new products with more complexity which requires additional criteria; for instance, structure of return on investment and warning of complex features and significant specific risks associated
principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
act as the loss buffer. The position risk calculation with respect to general market risk and specific risk for various investment including equities, debt instruments, and investment units will be
urges the private sector to exercise caution and refrain from using response letters in such manner.In any case, the SEC’s response letters to inquiries may contain facts that have changed or are specific
program. The primary objective is to empower trainers with comprehensive knowledge, addressing the specific financial challenges of three target groups: (1) individuals with debts, (2) individuals
AIRA Securities Public Company Limited's report and the SEC's further investigation, he was found to have given investment advice on specific securities at a seminar and via Line application based on his