Bangkok, October 16, 2015 ? The SEC will pay a closer attention to investors? behaviors and factors influencing their decision making as more studies show rationality is not the only criterion for making an investment in a mutual fund. The SEC studies on behavioral finance have revealed that investors tend to take many other factors into consideration as well when making a decision to invest in a mutual fund. Such factors include emotion, personal belief and attitudes toward different channels o...

the Bankruptcy Act B.E. 2483 (1940). The second MOA is for cooperation in establishing an enterprise architecture. Both MOAs aim to promote efficiency and effectiveness of duty performance of both

Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are exempted from the securities business license in the category of private fund management and...

enhance the efficiency of the existing provident funds. Essentially, the key principles of the amendments are as follows:  1. Fund management and structure: e.g., revising provisions to support the

efficiency of enforcement.The Advisory Committee on Listed Company Monitoring comprises: (1)  Secretary-General as Chair; (2)  Deputy Secretary-General in charge of corporate finance as member;(3)  Deputy

regulations to improve fund management efficiency and offer a wider range of investment choices to members. The revision also includes provisions for a central registrar to facilitate employers and employees

joint effort would help to increase enforcement efficiency and prevent the use of business operators under the SEC supervision as a channel for money laundering or facilitating terrorism. This by

The SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of fi...