SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A
Complex Type 2 Investment Consultant
Complex Type 2 Investment Consultant
SEC is proposing to amend the regulations on unitholding limitations of mutual funds. Proposed amendments include, for example, changing the methods of unitholding calculation and allowing mutual
amend its rules to be more flexible without too high operating costs, and cope with more diverse patterns of business operations. This revision focuses on the principle-based regulations, instead of
amend its rules to be more flexible without high operating costs, and cope with more diverse patterns of business operations. This revision focuses on the principle-based regulations, instead of fixed
Bangkok, June 17, 2014 ? SEC urges securities and asset management companies to concretely consider supporting anti-corruption with disclosure of Anti-corruption Progress Indicator of listed companies in the research. Meanwhile, securities and asset management companies are also urged to become a role model for anti-corruption practices as the Indicator of each business operators will be publicized from 2016 onwards.Chalee Chantanayingyong, SEC Deputy Secretary-General, said following disclosure...
undue burden to the business. SEC, therefore, proposes to amend the regulations by requiring the business operators to submit the report in electronic form instead of paper in order to reduce burden on