The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
, strategy, policy and operational plan shall be harmonized with fiduciary duties and good corporate governance principles. Clause 3. To attain the availability of competent personnel, the management company
back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency circumstances which may
operational plan shall be harmonized with fiduciary duties and good corporate governance principles. Clause 3. To attain the availability of competent personnel, the management company shall: (1) have personnel
guideline for selecting a suitable asset management companies and monitoring fund performance; 5) To provide a fact sheet for fund members to choose an investment plan; and 6) To provide information on
-2012 SEC Strategic Plan and Implementation Plan for ASEAN Capital Markets Integration driven by ASEAN Capital Markets Forum (ACMF).CIS to be offered to non-retail investor shares similar substances with
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
Bangkok, November 7, 2013 ? The SEC, Association of Provident Fund (AOP) and Association of Investment Management Companies (AIMC) collaborated to develop an Accredited Provident Fund Committee
representative office abroad .................................................................................................................................................... 3.2 Having a work plan for