Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must emphasize on the information necessary for investor?s decision. Non-compliance may cause the advertisement to be ceased or revised.Advertisement on selling of m...
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 12/05/2022 - 23/05/2022
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to have alternatives by using the capital market to accumulate wealth in the long run.SEC studied...
According to the Ministerial Regulation Re: Granting of Approval for Undertaking Digital Asset Business (No. 2) B.E. 2563 (2020), which became effective on 27 November 2020, “Digital Asset Investment Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to apply for an applicable license with SEC. In this regard, SEC adopts the regulations on busin...
technology to private fund management in analysis, selection and screening of securities trading signals, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory
amendment include creation of preventive mechanism against conflicts of interest, selection of intermediaries to support offer for sale of mutual funds of different types that would serve different target
: 1. Selection of referential standards: To ensure that Green Bond, Social Bond and Sustainability Bond are truly designed with the core objective of investing in projects for environmental conservation
project helps to raise employers? awareness of PVD as a tool for promoting good financial health for their employees after retirement. Incorporating the I Code into the selection criteria is a tangible
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the