Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client
October 8, 2004 for consideration. Mr. Thirachai Phuvanatnaranubala, SEC Secretary-General, said that ?The SEC will conduct a full-scale investigation into this matter thoroughly. Please be assured that
than general mutual funds, the SEC deems it necessary to prescribe particular regulations on establishment of such funds. In addition, investment limits in property funds or real estate investment trusts
being central to how all business transactions are conducted. In particular, the Standards will assist private enterprises to employ the SDGs to allocate capital more effectively. It will also help them
office of the securities companies directly to be assured of legitimate services, accurate documentation and prevention of client asset interference.
public their list of 127 senior securities analysts who will represent brokerage houses in providing securities analysis or information to the public via media. Please be assured that these senior level
standards and assured by SEC-approved auditor.The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to submit comments
information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is available from