Mutual Fund (RMF) has been established with an aim to provide investment alternative to working age population. To promote RMF, tax privileges have been given to investors who make continuous investment
supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace
actions with respect to risk management: (1) establish a written comprehensive risk management policy framework that covers all risk areas, with approval of its board of directors or the working group
result of the application consideration shall be notified within five working days;2) Filing: to shorten the grace period of the registration statement from 14 to five working days and to waive the
understanding of their roles and building their readiness for discharging duties more efficiently and effectively. Additionally, the SEC reviewed the accuracy of financial reports of listed companies, supervised
is working on enhancing the ASEAN Collective Investment Schemes (CIS) framework by further harmonising disclosure standards through common product highlight sheets and prospectuses, and reducing
Bangkok, June 2, 2015 ? The SEC jointly with the School of Development Economics of NIDA hosted the 4th SEC Working Papers Forum, 2015 on ?Global financial market risks and financial plan for
up audit file in case of electronic working papers? 4 Does the firm have policies and procedures for the documentation of complaints and allegations and the responses to them? 119
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a