Facebook Page ชื่อ Manage future trade : Unlicensed securities and derivatives business (Disclosure Date : 16/07/2024)
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...
Facebook page “Manage Mutual Funds” impersonates “BBL Asset Management Co.,Ltd” : Unlicensed securities and derivatives business (Disclosure Date : 02/09/2024)
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
Facebook Page อ้างชื่อ Manage Mutual Funds - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 02/09/2567)
Facebook Page ชื่อ Manage future trade - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 16/07/2567)
, document, and enforce policies, procedures, and controls to identify and eliminate, or manage and disclose, as appropriate, any actual or potential conflicts of interest that may influence the credit rating
manage actual and potential conflicts of interest. a. A CRA employee who participates in or who might otherwise have an effect on a credit rating action with respect to an entity or obligation should not