Management System Objective A management company shall have an investment management system containing clear processes and procedures both prior to and after investment. The system shall also have appropriate
management system containing clear processes and procedures both prior to and after investment. The system shall also have appropriate quantitative investment analysis such as an analysis of a financial
said that the MOU among AMLO, the SEC, and SET aims to address the need for swift action against offenders. The agreement focuses on streamlining work processes, including facilitating seamless
. 23/2544 Re: Rules, Conditions and Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the
securities company to manage the private fund, and shall manage the private fund in accordance with the rules, conditions and procedures as specified in the notification of the SEC. In this regard, the SEC
procedures as specified in the notification of the SEC.
2005 shall be repealed. Clause 2. In this Notification: “representative” means a representative under the Notification of the Securities and Exchange Commission governing rules, conditions and procedures
repealed. Clause 2. In this Notification: “representative” means a representative under the Notification of the Securities and Exchange Commission governing rules, conditions and procedures for appointment