Fund Approval and Management System (“OFAM”). In addition, the amendment would expand channels for announcement of dividend payment such as websites of asset management companies. The paperless
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
complaints, as detailed in Chapter 8; (8) approval of rules or regulations, as detailed in Chapter 9; (9) preparation and disclosure of financial statements, as detailed in Chapter 10; (10) retention of
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
obligation of the SEC as prescribed by the Securities and Exchange Act. The SEC has the responsibility to issue rules and regulations, ensure compliance and pursue enforcement in case of violations. Despite
fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance
compliance of listed firms, and enforcement capacity vis-à-vis the OECD Principles. > The assessments are standardized and systematic, and include policy recommendations and a model country action plan. In
-discipline and market-discipline of securities and asset management companies by allowing a fast track approval scheme for those with good ethics and compliance records in their application for new branch
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
personal data from its cooperation with governmental agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of Thailand (BOT) and the Office of the Insurance Commission (OIC