provisions, conditions, and procedures to protect the investors or to ensure the clarity and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of
there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders
terms of the derivatives contract specification, etc. Clearing House An important part of trading in securities and derivatives is to ensure that both counterparties will carry out their agreed
. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts
Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
been known to have gigantic impacts even on the global market. To ensure the financial statements of those entities conform to accounting standards, auditing can no longer relies only on individuals but
> Management of Mutual Fund > Authority of the SEC Regulations SHARE : Detail Content Management of Mutual Fund 1. Authority of the SEC To ensure that the management of a mutual fund is in accordance with