Bangkok, February 16, 2006 ? The SEC has decided to suspend a former fund manager from the list of approved persons and to penalize an asset management company for inappropriate management of mutual
Bangkok, March 1, 2012 ? On February 28, 2012, the Criminal Court convicted Sondhi Limthongkul, Suradet Mookyangkul, Saovaluck Theeranuchanyong, and Yupin Chantana, former directors of Manager Media
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
of the SEC Office; (6) being a manager or a person with power of management of the operation of securities business, the Securities Exchange, over-the-counter center, organization related to securities
information about investment of a fund. Clause 4 A person who may be appointed by an investment management company as a fund manager shall meet the following requirements: (1) not being a director, executive
have availability of personnel for the function of REIT manager, which shall be at least one supervisor being responsible for management of REIT’ s properties and at least 2 staffs who have knowledge and
Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...
approved list of the SEC Office; (15) “fund supervisor” means the supervisor of a fund; (16)2 “common person group” means the persons with one or more of the following relationships: (a) spousal relationship
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more