mutual funds, capped at 5 percent of the NAV, for the benefit of asset allocation through fund managers. (3) Revising relevant regulations to accommodate the establishment and management of Funds
SEC has established relevant regulatory guidelines governing the establishment and management of Thai ESGX, and a total of 37 Thai ESGX from 19 asset management companies (AMCs) are seeking the SEC’s
Establishment and Management of Collective Investment Schemes and Section 59 of the Trust for Transactions in Capital Market Act B. E. 2550 (2007) stipulate that the auditor who affixes signature in the auditor’s
documentation as prescribed in the Licensing Manual for the Public. Where it is necessary for the SEC Office to visit the place of business or any other establishment of the applicant or its subsidiary, the
big retail investors ; “mutual fund for institutional investor” means a mutual fund whose establishment has been approved by the SEC Office prior to the date on which this Notification comes into force
) dated 20 February 2017 (effective as from 1 March 2017). 2 big retail investors; “mutual fund for institutional investor” means a mutual fund whose establishment has been approved by the SEC Office prior
Companies (AIMC), and the Thai Investors Association (TIA). Moreover, the SEC has set the directions for enhancing supervision on information disclosure of listed companies and on performance of duties of
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s