MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED| | Offering Date : 01/01/2011 - 21/10/2011
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
- retail investors. The greater extent of offering to retail investors will not only widen investment alternatives, but also expand business opportunities for the mutual fund operators and propel integrated
the public hearing on the proposed amendments to the regulations and the concerns raised by asset management companies in the focus group meeting held in October 2020. To this extent, the SEC amended
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles, duties and responsibilities
of the company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for