The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial conglomeration, which is hard to avoid making transaction with relevant parties such as, the sales of securities via affiliated securities companies and any instruments issued or distributed by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment...
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of financial business operation, which is hard to avoid making transaction with relevant people such as, the sales of securities via affiliated securities companies and any instruments issued or on sale by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for...
Earlier, the SEC conducted a public hearing on proposed principles and amendments regarding the exemption of the digital asset fund manager license for SCs and AMCs managing MF and PF investments in
. Suphan Sethapanich from as acting as personnel in the capital market business and performing duties as the managing director and the chairman of the Investment Committee for a period of three years and
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
the measure on managing deteriorated dead inventories. In case of slow-moving inventories, the Company would release such inventories according to the buy-back agreement with - 8 - INTEGRITY QUALITY
Microsoft Word - UPF61MD&A-E.doc ( Translation ) 25th February 2019 Subject: Management Discussion and Analysis (MD&A) for the year ends on 31st December 2018 To: Managing Director of the Stock
. Low-medium risk 2 has a policy to invest, by having foreign exposure not exceeding 50% of NAV, in bank deposit, high-quality money market instruments, or other securities. The contractual term of these
not suit the HK Covered Fund Low risk 1 has a policy to invest, without having foreign exposure, in bank deposit, high-quality money market instruments, or other securities. The contractual term of