Bangkok, February 29, 2012 ? The SEC and the Association of Investment Management Companies (AIMC) have been concerned over the irregular closing price on December 30, 2011 of Gold exchange-trade fund (ETF) listed on foreign market affecting net asset value (NAV) of domestic gold funds. AIMC guideline, although allows asset management company and trustee to jointly exercise their discretion to specify mutual fund?s NAV based on fair price, none of asset management company has done so owing to th...
The ASEAN Capital Markets Forum (ACMF) welcomed the progress achieved by the ASEAN Green Bond Standards at its meeting today. Since its launch in November 2017, the ASEAN Green Bond Standards have gained encouraging traction and there have been three issuances from Malaysia and Singapore carrying the ASEAN Green Bond label. The first sovereign sukuk in ASEAN issued by Indonesia is aligned with the ASEAN Green Bond Standards.The progress of the ASEAN Green Bond Standards demonstrates the region's...
who conspired to manipulate the ABC price (as detailed in SEC News No. 59/2018, dated 7 June 2018). Of this group, one offender has already signed a statement of consent and fully paid his civil penalty
Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The case also involves seeking unlawful gains and consenting to the omission of the B/E transaction rec...
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indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
proposal Agree Disagree Do you agree with imposing an aggregate limit on total investments in ICOs by each retail investor in any 12-month period? Do you agree with setting the above aggregate limit at 3
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments