The SEC approved rules on undertaking derivatives fund management business for derivatives fund mangers who provide services to the general investors, mutual funds, private funds, and provident funds
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favorable returns. Some SMEs operators see PE as treat to the ownership of the business or as possible business takeover. In fact, PE will facilitate strengthening of businesses in terms of funds, management
: - have robust checks and balances mechanisms in place in every critical business system; - have effective business continuity management and plans; - have a customer onboarding and Know Your Customer
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their
, SEC Chief advised that financial institutions and business operators lay out a comprehensive risk management scheme, covering five specific areas of business operation, as follows
Bangkok, February 12, 2013 ? The SEC encouraged the Association of Investment Management Companies (AIMC) to improve the performance calculation practice of asset management companies to be in line
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SEC has revised regulations regarding outsourcing, to provide more opportunities for business operators, such as, securities business providers, asset management companies, and derivatives business