case with hedge funds. Meanwhile, the investor qualifications would also be revised to ensure that only accredited investors with matching risk profiles would be eligible to invest in higher risk mutual
public offering (IPO) companies. The purpose is to ensure that CFOs and accountants clearly understand the expected roles and responsibilities in preparing financial reports and internal control system
consultant. Institutional investors should ensure that the third parties perform the assigned functions in accordance with the investment governance policy.2. The I Code comprises seven principles as follows
. The SEC, therefore, urges the shareholders to study relevant information carefully and seek clarifications from the IFEC management before exercising their voting right to ensure that appropriate
Bangkok, 30 November 2016 ? The SEC is seeking public comments on the draft amendments concerning mutual fund product governance to ensure that intermediaries? business practice focuses primarily on
issues that are affecting its business operation.Specifically, the SEC is instructing IFEC to ensure that the company and the subsidiaries will prepare the respective financial statements, have the auditor
, default of debt repayment at an amount exceeding 5 percent of the total assets, and changes to the major shareholders’ structure. To ensure that the proposed rules would not impose an excessive burden to
baht. This is to ensure that investment in power generation is sufficiently large when compared with the fund size which is required to be at least 2 billion baht.The consultation paper can be found at
, embraces transition to change, creates awareness, supports and facilitates, and fosters engagement to ensure a smooth, effective and sustainable transition.“Most importantly, the SEC’s hands-on approach to
In accordance with SEC Strategic Plan 2020-2022 by which, one of the goals of SEC is to ensure the competitiveness of business operators in the capital market. At the Capital Market Supervisory