such transfer. Their actions were deemed imprudent and careless fund management in contrary to professional codes of conduct, causing severe damage to the fund assets. On December 29, 2011, the asset
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...
Management Discussion and Analysis 1 Ref: AC.017/2020 18 May 2020 Subject: Management discussion and analysis of financial position and operating results To: President and Manager The Stock Exchange
company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
The SEC aims to improve the PVD supervision to be more suitable for the current context, providing protection to PVD members in a fair and transparent manner. Related business operators are
Online Fund Approval and Management System (OFAM) ระบบอนุมัติจัดตั้งและจัดการกองทุน Online Fund Approval and Management System (OFAM) โปรดระบุข้อมูลด้านล่าง (Please fill in information below
Association (TISA), and the Institute of Internal Auditors, Thailand (IIAT), co-organized a panel discussion on cybersecurity for risk management and IT audit personnel of business operators in the capital