To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
persons established under specific laws for the purpose of business undertaking; (10)3 “parent company” means company having any of the following characteristics: (a) company which has control over
their duties as a trustworthy professional [i] with due care and loyalty for the best interest of the unitholders as a whole, and [ii] in accordance with the trust instrument, relevant laws and commitment
responsibility, due care and loyalty including breaching or failing to comply with the laws, objectives or articles of association, and the resolutions of the board of directors or the resolutions of the
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
guidelines cover the key areas of risk management, internal control, code of conduct, conflicts-of-interest management, handling of complaints against the SEC's staff, communication with stakeholders and
with current events, which at the time of writing, none of the Company group’s employees have been found infected with COVID-19. The company group announced measures to prevent and control the spread of
(Duty of Loyalty) (1) บริษัทจัดการควรจัดการลงทุนเพื่อประโยชน์ที่ดีที่สุดของลูกค้า และให้ความสำคัญแก่ประโยชน์ของลูกค้าเหนือผลประโยชน์ของตน เช่น การจัดการลงทุนให้สอดคล้องกับวัตถุประสงค์ กรอบ