Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
SEC has proposed additional risk management tools that asset management companies are able to select and use when dealing with events or factors causing investors to panic-sell or redeem their
private fund from being seized by legal process if asset management companies are in debt, SEC has proposed to revise the related regulations in order that the investors’s assets could be protected if
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
Renaissance Fund Management is a licensee under Type C Securities Business License in addition to the Derivatives Fund Management and Advisory Services Licenses. According to the SEC’s onsite
Management Discussion and Analysis 1 Ref: AC.017/2020 18 May 2020 Subject: Management discussion and analysis of financial position and operating results To: President and Manager The Stock Exchange
Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The
Thai ESG funds and strengthen the fiduciary duty of asset management companies (AMCs) to ensure responsible investment. Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “The Capital Market
The SEC has reviewed the existing criteria governing liquidity risk management tools for mutual funds and has also studied regulatory approaches adopted in other jurisdictions. The SEC is of the view