unitholders of each fund. (3) In requesting for resolution, the asset management company is required to : 3.1) Specify details of the new scheme and commitment; 3.2) Request a resolution of the unitholders
efficiency and security 3. Having a complete process of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an
business model of the company. ** This definition is in line with the G20/OECD’s definition of “Corporate Governance”: “corporate governance involves a set of relationships between a company's management
efficiency and security 3. Having a complete process of client contact and services in the five steps as follows: 1) exploring and understanding customers 2) constructing an
through the financial services sector. The MoU strengthens the existing relationship between the UK and the SEC, formalising collaboration in areas including accounting standards; the development of
ASEAN NRI CIS (for non-retail investors only) or ASEAN CIS (for public offerings) in Thailand: The CIS Operator is required to submit a hard copy of a completed Form 69 – CIS annually update to the SEC
alignment with TCFD-aligned disclosure in Thailand The collaboration between CDP and the SEC will run throughout 2022 and is part of the SEC’s ambition to raise awareness and encourage business sectors to
Stock Exchange of Thailand. An FA is obligated to ensure that the companies disclose thorough, accurate and sufficient information for investors in making decisions. An FA is required to provide opinions
holding limit is applied as in compliance with the regulations for infrastructure activities under IFF's investment. * In the case of many sponsors in the fund, the investment units held by all sponsors
process of the regulatory framework is completed. In addition to meeting the required minimum paid-up capital, the intermediaries are also subject to maintaining on-going capital requirement (Net Capital