Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February 14, 2012. The sanctions followed the SEC findings that the said persons mismanaged T.U. Dome Residential Complex Property Fund (T.U. Dome) severely, causing substantial damage to the fund and the unitholders. Maris and Burim, who were T.U. Dome fund managers during 2006-2009 and 2008-2009 respectivel...
The ASEAN CIS Framework is an initiative under the regional capital markets integration plan endorsed by the ASEAN Finance Ministers in 2009 to facilitate cross-border product access and fund distribution for investors and issuers respectively. The framework enables fund managers operating in a member jurisdiction to offer a CIS constituted and authorised in that jurisdiction to retail investors in other member jurisdictions under a streamlined authorisation process. The Supplemental MoU t...
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as
Zipmex to act in the best interest of its clients and in readiness for facilitating their asset withdrawal transactions. In this connection, to keep Zipmex’s investors updated and accurately informed about
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