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...

such, impractical and outdated regulations will be revised to support underwriters? performance with trustworthiness and responsibility to investors, which will eventually build up their own credibility

their objectives of safeguarding client benefits, enhance their trustworthiness, and maintain overall market integrity, but also reflect their self-discipline which would further reduce chances of law

method, as well as to increase the trustworthiness in the identification and authentication process for onboarding customers  that could boost the standard of performing e-KYC in the capital market. The

standardized terms and conditions, and the regular dissemination of current, pertinent information. These combined efforts aim to strengthen the trustworthiness of the Thai bond market, positioning it as a

and products, smart investment based on risk profile, basic portfolio building, how to exercise investor rights to avoid frauds and scams. There are also edutainment activities such risk-taking games

collaboration seeks to build confidence in the Thai capital market, ensuring widespread and fair benefits for all sectors with transparency and trustworthiness. The discussions also covered topics that the SEC

decisions on the client?s behalf to avoid payment for the same-day purchases of securities. In another case, he arranged for a client cash transfer into a bank account of the company he works for through

composition to ensure efficient check and balance, but the SEC has decided to impose only the one-third requirement to avoid too much burden on listed firms. Most of the firms have already met the requirement