their rights of voting for the units they hold beyond the one-third rule. In addition, business operators offering mutual fund brokerage services to omnibus accounts have to observe the regulations
The SEC has improved the procedure for handling complaints from investors and the general public to ensure better service quality. The new procedure includes three phases of clearer status updates to
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
appoint custodians which approved by SEC to protect investors’ assets.However, SEC intends to revise the regulations by allowing private fund operators with custodian services to protect investors
Bangkok, June 10, 2016 ? The SEC is seeking public comments on the proposed amendment to the rules governing disclosure of information in the Annual Registration Statement (Form 56-1), specifically
Bangkok, 9 August 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing custody of clients? assets by intermediaries to ensure investors? best interest.The guiding
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
Bangkok, January 21, 2016 ? The SEC is seeking public comments on draft amendments to the regulations concerning supervision on trigger funds and product advertisement.The proposed amendments to the
Currently, securities companies provide margin loan services to investors to enhance opportunities for higher returns on investments. However, the SEC has observed that many stocks used as