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 asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and...
, for example, has changed significantly recently. Since last December, SEC has informed SET to monitor the trading activities of such shares closely to protect investors and prevent distortion of the
blocked from these platforms immediately to protect the public from further harm and loss. The Investment Scam Hotline initiative is part of the SEC’s continuing efforts as a participant in the
of lawsuit filed and prosecuted by the plaintiff who collectively represents a group of people who suffer damage from the same causes and wish to exercise legal right to protect own rights. For more
The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
prove that; (1) it shall list the units on the exchange once approved of the offering; (2) it has implemented a governance that is capable to protect unitholders’ rights and render fair treatment and has
conservation. The SEC, as a capital market regulator, encourages the use of capital market products to support investments in projects that conserve or protect the environment, including the development of areas
maximum returns and managing investment risks. The I Code aims to build institutional investors? long-term credibility, and protect the best interest of asset owners and the capital market at large.As
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall