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...
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
from other network firms)? If yes, please provide the list of the service providers. 2 How does the firm determines and manage the independence and appropriateness of service provider qualifications
outcomes may affect how firms manage risk and how audits are done. Monitoring independence: concerns from increase in violations, including personal violations by firm personnel. In some cases related to tax
value. Sustainability implies that the company must manage effectively the governance, social and environmental aspects of its activities as well as financial operations. In doing so, companies should
manage REIT in accordance with the trust instrument. “REIT” means a real estate investment trust pursuant to the Notification of the Capital Market Supervisory Board concerning the Issuance and Offer for
the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of information among borrowers, lenders and other market participants; Independence and conflicts of
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the