between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 8/2561 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of ASEAN
Currently, the existing regulations regarding compensation for incorrect calculation of investment unit values require AMCs to compensate by reducing the number of units held by the buyers or the
funds to be exempted if asset management companies comply with all obligations, such as widely allocating investment units to the general public, managing liquidity effectively and having measures to
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the
based on existing key principles aiming to ensure that (i) retail fund?s investment units will be allocated to general investors; (ii) retail fund will not be used to seek undue benefit for any particular