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...

. Effective from 1 April 2024, the amendment* aims to prevent Thai investors from misusing NVDR as a tool to evade regulatory compliance, which could lead to inappropriate behaviors, and to encourage Thai

securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to

securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to

managing private assets of any persons or groups of persons (private trust), nor does it aim to evade compliance with any relevant laws.  Key products for GIT investment in environmental projects are: (1

channel as a tool to evade or contravene the governing law and regulations (regulatory arbitrage) on the undertaking of investment management business,* which prescribe stricter supervision. For example, it

(3) {K}, who neglected inspection and failed to comply with the bank's internal control system, causing the suspicious issues in the dishonest acts to evade inspection. The SEC has therefore banned the

inappropriate transactions or illegal actions may be committed and evade detection. Such circumstances would consequently affect confidence in securities business and the capital market at large;      (2) Custody

the clients in accordance with the law. Such neligence exposed the company to risk whereby inappropriate transactions or illegal actions may be committed and evade detection. Such circumstances would