fund management company shall provide an option for unitholders of a closed-end mutual fund to exit from the closed-end mutual fund, (if unitholders opt to exit) the mutual fund shall comply with the
and arrange a special audit issuance, related receipt and payment transactions, and the accounting records.The order was issued after KC announced via the SET Electronic Information System on 29
responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded. The SEC requires that digital asset business
. Clause 6. Prior to agreeing to provide selling agent service for units of foreign collective investment scheme, securities company shall arrange to have agreement in writing with person responsible for
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is
following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is comprising of, at least, the following particulars: (1
Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is comprising of, at
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan