/Pages/News_Detail.aspx?SECID=8655 SEC public hearing on draft regulations on capital requirements of investment management companies that manage property funds, infrastructure funds, REIT managers and
digital asset fund managers and digital asset investment consultants to apply for respective licenses within deadline on 24 February 2021 The SEC has informed digital asset investment consultants and
November 2020, “ Digital Asset Investment https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8823 SEC reminds digital asset fund managers and digital asset investment consultants to apply for respective
branch managers of LBDU agent transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors should not leave their fund
, experience and tenures of fund managers; fund managers? compensation structure; and fund mangers? investment within the fund. The sales and media area was improved from the first evaluation in 2011, but is
Investment Fund Managers Directive (AIFMD) ซึ่งมีผลบังคับใช้ตั้งแต่ วันที่ 22 กรกฎาคม 2556 เพื่อการกำกับดูแลบริษัทจัดการลงทุนที่จัดการหรือเสนอขายกองทุนใด ๆ ซึ่งมิได้เข้าข่ายเป็น UCITS โดยหลักเกณฑ์ดังกล่าวจะส่ง
system Holding a lecture on Governance, Risk Management and Compliance (GRC) for executives Launching the “KBank Honest People” campaign to promote a culture of integrity in the workplace, in adherence
Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Executives/Major Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> ผู้สอบบัญชี ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลง
Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets (Section 98(3)) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel
Allocation (Section 81) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major Shareholders | - |- Approval