provision of services as a securities clearing house or central securities depository to the extent that members or their clients, or any involved persons understand risks from use of the services, and shall
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
filing of mutual funds The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents
. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies
whether or not the company (and its management) have complied and, if not, the extent of, and reasons for, non-compliance. (i) Governments in each country should adopt measures to ensure the independence
mutual fund selling agents ● Proposed to grant new mutual fund management license to increase a greater number of professionals ● Proposed to amend the Provident Fund Act for provident funds to invest
duties and rules on conflicts of interest for directors, and introducing characteristics that would make an individual unfit to be a director. Shareholder’s rights to amend the meeting agenda, approve
footprints and impacts on climate change and enhance competitiveness of the Thai capital market through business sustainability. The SEC is proposing to amend the regulation on filing the application for
provide another instrument in the debt instrument market. ■ A proposal was made to amend the Royal Enactment on Special Purpose Juristic Persons for Securitization B.E. 2540 (1997) on the issues that are
are enforceable under the SEC Act, the violation of which is a criminal offence. The extent of the SEC’s authority is further defined in SEC notifications, in which details of its context and powers