revision aims to promote greater varieties of product choices for investors and enhance competitiveness of the fund management industry. The draft amendments have taken into consideration the comments and
) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact sheet must be
(DW) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
Bangkok, June 27, 2014 ? The SEC is seeking public comment on revision of public offering rules to impose a barring period on re-filing of application for securities public offerings. Such period
Bangkok, May 30, 2013 ? The SEC is seeking public comment on the revision of regulations on capital market personnel for greater prudence, appropriateness and standards in order to enhance
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
SEC regarding the revision and modification of mutual fund projects. SEC may approve the revision of a project if the revision does not have material impact on the unitholders and does not
revision becomes effective, we agree to abide by the revised Standard Procedures or the Manuals as well. 1 . 2 We acknowledge and agree that upon electronic submission of information to the SEC Office’s