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
System (“OFAM”). In addition, the amendment would expand channels for announcement of dividend payment such as websites of asset management companies. The paperless https://www.sec.or.th/EN/Pages
establishment and management of mutual funds by allowing electronic submission of all required documents through the Online Fund Approval and Management System (“OFAM”). In addition, the amendment would expand
data directly from you by collecting from: Seminars/trainings/meetings/hearings/visits to the SEC Office; The Enterprise Content Management System (ECM) of the SEC Office. The SEC Office receives your
and risk management system. Information Management Group • responsible for information management and dissemination of the SEC’s news, regulations, and policies to the public by using appropriate
depositories shall set up a system for management and storage of information concerning their business operation in an efficient, concise, and complete manner, which also allows such information to be compiled
language Encourage risk management by investment management operators ● Developed a risk monitoring and controlling system for equity funds ● Established guidelines for maintenance and monitoring of asset
securities business operation, the SEC issued a regulation requiring all securities companies to put in place an information technology risk management plan with database and system backup solut ions and a
basis of capital adequacy, readiness of business operation, internal control system, risk management system, conflict of interest prevention system and customer service system. To promote derivatives
information that companies on a voluntary basis may include, for example in their management reports. VI) The responsibilities of the board; The chapter provides guidance with respect to key functions of the