The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
Company Limited 1. Day/month/year in which the transaction occurs The Company will acquire investment to maintain proportion and complete aforementioned transaction within January 2020 2. Involved parties
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201811/18103331.pdf E_1 Legal_FA_2015_12_29-c Platform of Choice” in order to maintain existing clients with good track records while also
doing, the association must acquire a license and register with the SEC. The SEC supervises the operation of the associations to ensure that the association oversees the members, and carries out the
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the
manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules and regulations
derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules