investment policy to the PVD’s fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering
The Securities and Futures Commission (SFC) and the Securities and Exchange Commission of Thailand (SEC) have entered into a Memorandum of Understanding (MoU) on Mutual Recognition of Funds (MRF) to
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documents as prescribed by the SEC. In this regard, the applicant may examine the list of the required documents for the SEC’s consideration in Form 35 – HK-TH MRF: Checklist for Mutual Recognition of Funds
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. EQCRs may lack the necessary technical skills and experiences. Some audit firms may lack the audit manual and audit procedures as required by the auditing standards. Although in the year 2016, the audit
, particularly new-gen groups, for digital asset and fund raising businesses operation such as issuance of digital tokens or ICOs.As such, “SEC finds it necessary to enhance knowledge and understanding
management companies must provide explanation concerning the funds for investors? understanding and must also take necessary steps to ensure that investors learn of associated risks prior to making investment