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
) 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
proposed amendment to the regulation relating to approval of paperless filing for establishment and management of mutual funds. The revision is intended to facilitate the business sector, reduce carbon
................................................................................ Intermediaries ......................................................................................................................... Asset Management
-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
Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69
and CEOs. Duties of loyalty and care are found in the law and responsibilities are spelled out in the Principles and listing rules. These include oversight of management and strategy, approval of
in the short-term, the calculation of the capital to accommodate the digital https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8398 SEC public hearing on draft amendment to approval for paperless
actions with respect to risk management: (1) establish a written comprehensive risk management policy framework that covers all risk areas, with approval of its board of directors or the working group
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