; (Translation) 3 (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested assets in
disclosure CRAs should make disclosure and transparency an objective of their ratings activities; and Confidential information CRAs should maintain in confidence all non-public information communicated to them
. 41/2555 Re: Rules, Conditions and Procedures for Trading of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth Investor By virtue of Section 16/6 and Section 113 of the
Scheme (Scheme) for multi-jurisdiction offerings of equity and plain debt securities in ASEAN. The Scheme aims to facilitate fund raising activities as well as to enhance the investment opportunities
additional part of the delegatee 6. There should be an information disclosure regarding the delegation of functions relating to the investment management business in the mutual fund scheme/private fund
6. There should be an information disclosure regarding the delegation of functions relating to the investment management business in the mutual fund scheme/private fund management agreement. 3.3.7
LIMITED TO (1) THE EXISTING SHAREHOLDERS PRO RATA TO THEIR SHAREHOLDINGS (RIGHTS OFFERING) AND (2) A SPECIFIC INVESTOR (PRIVATE PLACEMENT) (Additions) (Amendments) July 14, 2017 Reference is made to the
Notification of the Capital Market Supervisory Board No. TorThor. 7/2557 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of Foreign Collective Investment Scheme
share knowledge and understanding as well as different views and opinions on reforming laws and regulations on the capital market enforced by SEC, under the Regulatory Guillotine Scheme, which aims to