, address, telephone number, etc. and any personal data that indirectly identifies a person, e.g., educational background, training, etc. as long as it is necessary for the purposes of collection of such
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
our intentions and commitments to appropriately responds to the needs of the public and stakeholders in supervising and developing a sustainable capital market, and to efficiently and effectively
fund shall not invest in other funds under the same management company (cascade investment); (2) No collection of redundant fees; (3) Casting a vote in the targeting fund is not allowed; (4) D
Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all
Techamontrikul Member Subcommittee on Governance and Remuneration (Office term of two years ) The Subcommittee has a duty to propose policies and workplans for developing organizational governance, as well as
duties with efficiency, fairness and transparency; focuses on promoting and developing the operation of the securities businesses. At present, three associations related to the securities business are as