amendments are expected to enhance flexibility and industry adjustment to the fast changing market environment;3. Supervision of Mutual Fund Management: The mutual fund governance structure would be revised to
following matters: (1) good governance and clear, transparent organization structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with measures to appropriately
the Permanent Secretary, the Prime Minister Meetings of the personnel management committee/meetings of the SEC Board and meetings of the Good Governance Subcommittee Relevant committees ITA Project
(IOSCO), such as having the structure for supervising the Association to reflect good corporate governance, setting criteria for member subscription and for member supervision with transparency
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
-up capital of 500 million baht for undertaking the following businesses ? brokerage, dealing and underwriting of securities, investment advisory, mutual fund/private fund management, securities
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
management while rendering proper investor protection. Financial institutions that used to rely on B/E fund source have time until end of June to prepare for compliance with SEC supervision,? said SEC