Bangkok, April 21, 2016 -- The SEC is seeking public comments on draft rules concerning supervision on trigger funds and advertisement of other types of mutual funds, to be imposed on relevant
Luxembourg ("CSSF") to promote mutual collaboration in exchanging information on the supervision of mutual funds on November 28, 2012.The MoU aims to enhance collaboration in exchanging information on
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
to the Company, including entering into the Entire Business Transfer Agreement including other relevant transaction documents, and also approve to process as deemed necessary and appropriate, in order
approve to process as deemed necessary and appropriate, in order to ensure the Entire Business Transfer and Securities Allocation Transaction is complete within May 30, 2018, or the date mutually agreed by
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
control system in respect of giving advice, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2)5 providing a compliance
) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create conflict of