product. This new regulation allows service providers to use the single form with investors of any products while reducing investors’ burden of filling in repetitive information when opening a new
different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the
The proposed amendments aim to streamline and simplify mutual fund disclosure which currently requires numerous details and, in some parts, repetitive information is disclosed in other documents that
indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance
short-term issues with the value of short-term issues totaling 1,184.85 billion baht. However, the bond issuers concentrated in a few business sectors whereas the small and medium sized companies rarely
indicate that the system of quality management is insufficient. 2) Systemic, repetitive, or other significant deficiencies that require prompt corrective action B2 Does the firm establish the criteria and
detail of securities / criteria, conditions and procedures for the sale of securities Additional rules in case of concentrated allocation Concentrated allocation is allocation to any person more than
capital market has always been a major venue for fund mobilization of business sectors. Yet, prior to the SEC establishment, market development had concentrated more on the secondary market where trading of
the outstanding investment units is to promote the more extensive distribution of investment units. The investment units shall not be concentrated in the holding of any individuals or any groups of