management companies. Additionally, the amendments would include revision to the submission period in alignment with that of mutual fund management companies.The SEC is therefore conducting this public

Bangkok, June 5, 2014 ? The SEC is seeking public comment on revision of rules governing mutual fund prospectus to provide more useful information for investment decision making.  Management

management. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website or facsimile number at 0-2263-6229 or email address at

Globalview Consulting Co.,Ltd. Globalview Consulting Co.,Ltd. colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management by

advisory and private fund management by advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535

management companies. Now, SEC has drafted regulations covering various topics, such as that investment management companies must present multiple investment policies, which must also be in conformity to

directly relevant to its core business, for example, preparation of research report, risk management or mutual fund and private fund management which must be in compliance with specified conditions. For

adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk

details, that cover several issues such as personnel readiness, investment management, receiving and delivery of funds’ assets and risk management.SEC has studied the supervision in other countries and

person or group of persons holds investment units in the amount exceeding the said limit, asset management company will be prohibited from distributing dividend and counting vote in the excess portion. The