The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and
application for approval have been effective from 16 July 2018. The capital market intermediaries of all kinds, whether it be securities brokers, mutual fund brokers, management companies for mutual funds or
company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with
comply with the SEC?s approved advertising or sales promotion guidelines issued by the Thai Listed Companies Association and Association of Investment Management Companies. Any business operator failing to
fund supervisor; “Mutual fund” means any open-end fund and closed-end fund; “Management company” means a securities company licensed to undertake securities business in the category of mutual fund
qualifications: (1) Have the complete qualifications and registered as qualified person for being fund supervisor as specified by the Notification of the Office; (2) Do not hold shares of the management company
duties and responsibilities, and certify that the information is complete and correct, and is not false nor misleading, and that all important information is included: (1) the management company; (2) the
these amendments is to require advertisement and disclosure of trigger funds to be more inclusive to give investors a clearer picture of this type of fund so that they would have correct and complete
, the Thai Bankers ' Association, the Association of Thai Securities Companies, the Association of Investment Management Companies, the Thai Financial Planners Association, and True Corporation Plc