, 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
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
sector, the SEC Board has approved to ease the regulations governing the establishment of an audit committee for certain types of securities companies. The audit committee is required to perform the duty
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this regard, SEC has reviewed regulations on the operation of investment management business as presc...
NBC will hold the AGM 2020 to seek approval for the acquisition of “Komchadluek” trademark from NMG at the amount of 69.9 million baht and the acquisition of assets and business under the “Komchadluek” trademark from Komchadluek Media at the amount of 100,000 baht, resulting in the total acquisition value of 70 million baht. NBC’s Board of Directors and the Audit Committee view that the entry into the acquisition of business and the trademark of Komchadluek is appropriate and beneficial fo...
mutual funds are allowed to invest, requiring asset management companies to notify investors prior to raising fees or expenses, waiving the limitation rule on unitholding over one third when certain
New Products - Mutual Fund สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 28 August 2022 21:26 New Products - Mutual Fund Mutual Fund ( 15 record(s) found) Asset Management Company
PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 30/10/2006 - 10/11/2007