Term fund is highly popular among investors, asset management companies and commercial banks. As of the end of Q1/2019, the total net asset value was approximately 770,000 million baht and 96 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 concentration risk due to investment in products of any single issuer. Under such conditions, a credit ri...

Currently, asset management companies have roles in reporting their portfolio outward foreign and derivatives of mutual funds and provident funds  to both SEC and BOT on a monthly basis. In order to reduce the asset management companies’ reporting burdens, SEC held a discussion with BOT and reached a joint decision that BOT would use information in the report that mutual fund and provident fund operators file with SEC, instead of using BOT’s portfolio and derivative  investment aboard (PI...

To avoid disruption to economic activities as securities companies and derivatives business operators are key intermediaries for providing investment services to businesses and the public, the SEC

.  In addition, inception of mutual funds for non-retail (MF for non-retail) will no longer be permitted to avoid repetition of mutual funds for accredited investors, selling units to institutional and

technology and innovation strategies. The SEC monitors factors which may affect the reliability and stability of the capital market as a whole, including systemic risk, and collaborates with other financial

material change in value, form, or condition of transactions, including payment and receipts of funds (transaction monitoring); (b) there is doubt concerning the accuracy, up-to-date, reliability, or

-to-date, reliability, or adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14(1) or

accuracy, up-to-date, reliability, or adequacy of the client’s existing records obtained under the KYC/CDD process; (c) it is, or should become, known by the securities company that the database in Clause 14

market will rest on the selection of one or more KPI(s). It is important to the success of this instrument to avoid the proliferation of KPIs that are not credible. The issuer’ s sustainability performance

assess the incremental risks associated with their staff providing personal services while other firms, which collected the necessary information, had no means to verify the reliability or the completeness