unitholders attending the meetings or sending the vote letter if it is a resolution on general matters such as changing the fund type from a closed-end fund to an open-end fund or merging funds to reduce

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

management company may seek a general consent from the client or the provident fund committee in advance in the private fund management agreement. Clause 15 A management company may enter into a transaction

advance in the private fund management agreement. Clause 15 A management company may enter into a transaction for the fund with a connected person only upon the approval of the mutual fund supervisor or the

of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association

Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and

SEC Office (ECM) The SEC Office receives the following personal data from its cooperation with government agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of

the conditions that the REIT has been granted approval from the REIT Unitholders’ Extraordinary Meeting in entering into the related transactions and executions and given consent by the Office of the

instance, fund management may be outsourced up to 20% of AUM of each asset management company and must be clearly disclose in the prospectus. In case of private fund management, consent of the client is

to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time.  Despite no intention to conceal information in the