e-service Online Submission Executives/Major Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Type Title Section See document Status Notified Date Effective Date 1
e-service Online Submission Executives/Major Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Type Title Section See document Status Notified Date Effective Date 1
Securities Companies President of the Association of Investment Management Companies Managers All securities companies All securities companies licensed to undertake securities business in the category of
-2033-9660 27 January 2021 Attention: President of the Association of Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All
Securities Companies President of the Association of Investment Management Companies Managers All securities companies All securities companies licensed to undertake securities business in the category of
(including their controlling shareholders), and asset managers that good corporate governance improves returns and better manages risks has led to a virtuous circle of engagement, dialogue, and governance
. Most of the respondents expressed agreement with the principle proposed.Therefore, SEC has drafted a notification requiring asset management companies and trust managers which make a projection of
operators in the capital markets who plan to apply fintech must comply as follows: (1) Set a policy on fintech application at board or executives level; (2) Have personnel understand the basic
follows: (1) Implement a policy on fintech application at board or executives level ; (2) Have persons understand the basic principles of technology usage;(3) Allow fund managers or
supervisors approved by the Office which can be accessed and inspected by the public; (4) “tender offer preparer” means a person who prepares a tender offer for acquisition of securities for business takeovers