SEC supervisory framework focuses on their capability to maintain qualifications in accordance with the governing rules as well as their knowledge on investment and regulations related to investor
Investor Code Working Group, which comprises the representatives from the SEC and the AIMC, is preparing the Code to be used as a framework for laying out policies and guidelines for operating business based
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
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
Collective Investment Schemes (CIS) Framework. The Framework enables fund managers operating in one jurisdiction to offer funds constituted and approved in that jurisdiction to retail investors in the other
Understanding (MOU) on Expedited Review Framework for Secondary Listings.The Expedited Review Framework is an initiative under the ACMF Implementation Plan endorsed by the ASEAN Finance Ministers in 2009. The
incorporated companies in Thailand and other ASEAN members, simultaneously or in proximate period, under the ACMF framework. The issuers will be allowed to file with the SEC disclosure documents using ASEAN
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and