Commissions (IOSCO). This is to ensure that, if necessary, the SEC will be able to exchange information regarding the supervision of those foreign funds with foreign regulators under the IOSCO Multilateral
major shareholders owing a large amount of unpaid debts, causing a significant impact on the applicant's financial statements; (3) failure to examine the disclosure of material information in the IPO
? 30 2564 AIA Global Moderate Allocation Fund (AIA-GMA) . ( ) : - ? ? . (Cross Investing Fund) (Fund of Funds) AIA-GMA 1 • 1. AIA Diversified Fixed Income Fund AIA Investment Management Private
Supervisory Board concerning Rules of Management for Retail Funds, Non-retail Funds, Funds for Institutional Investors and Private Funds; “complex return mutual fund” means a mutual fund that offers return to
information to PVD members; (2) To establish liquidity risk management policy for PVD: Requiring AMC to have liquidity risk management policy and tools (LMTs) for PVD, similar to the LMTs guidelines
to disclose the material information on the investment policy before offering it to the client. For a pooled fund, AMC is additionally required to disclose the PVD factsheet to the fund members and
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the
exclusively for green, social and sustainable securities, to allow global investors a convenient information access to such products and attract foreign investments to Thailand.Following the meeting, SEC
Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019