Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. 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 with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure
SEC is proposing to amend the regulations on the capital requirements for asset management companies that manage property funds or infrastructure funds, trust managers and trustees of REITs or
Regulations on Offer for Sale of Securities through Electronic System or Network (No. 2)
is relevant and reliable information to enable proper functioning of SOQM? 2 How does the firm manage the information system (including the use of paper-based and electronic forms) to ensure that it
involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance