, customer service and information system, internal control system, and risk management system. In addition, related notifications will be codified into one document to facilitate the business operators
, SEC has developed, reviewed, and revised regulations on the operation of investment management business covering the management of mutual fund from launching to termination, by doing as follows
businesses in case they fail to maintain capital adequacy as required.SEC has proposed a grace period of two years for existing asset management companies and trust managers in operation before the effective
types of securities business license, namely (1) Type E Securities Business License* for equity instruments, and (2) Private Fund Management License. The proposed amendment aims to increase choices of
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to
Bangkok, January 12, 2015 ? The SEC supports asset management companies to raise their competitiveness with more distribution channels, new types of mutual funds and join business development in the
Bangkok, April 18, 2014 ? The SEC is seeking further public comment on revision of asset management company's reporting which was posted for public hearing in late 2013. The revision proposes to
Bangkok, April 18, 2014 ? The SEC is seeking further public comment on revision of asset management company?s reporting which was posted for public hearing in late 2013. The revision proposes to
participating market operators), investors will be eligible to receive a promotional gift valued at 500 baht. Participating business operators are 22 investment management companies, 14 securities companies, 2
management process of mutual funds, the SEC encourages asset management companies to strengthen the efficiency of such process. This includes establishing a clear risk management policy and measures