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
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
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
, prior to taking such an oppor- tunity, such persons should disclose to, and receive approval from, the company‟s board or shareholder meeting. Decision-making procedures should be clarified and
Governance ● Revision of Rules on Approval for Public Offering of Shares and Information Disclosure by Focusing on Good Corporate Governance CONTENTS APPEN SCE_Eng_p.1-16 10/29/04, 1:05 AM2 3 ● Supervision of
, approval for issuance and offering of securities, and the review of issuing company auditors' working papers and listed companies' financial statements. (3) Finance and Financial Statements ë Reviewed the
exchange and clearing house, and the licensing requirements which are in the process of approval ● Prescribed licensing rules for derivatives brokers, dealers, and fund managers ● Prescribed rules for the
) strengthening the confidence in https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6844 SEC public hearing on draft amendment to approval for paperless filing of mutual funds Fund Approval and Management
SHARE : SEC public hearing on draft amendment to approval for paperless filing of mutual funds Friday 8 November 2019 | No. 161 / 2019 Bangkok, 8 November 2019 – The SEC is seeking public comments on a
-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