SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
disclosed in the fund prospectus, especially investment policies, investment proportion and associated risks. In addition, if the funds invest in the GMS instruments more than 60 percent of NAV, the asset
Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of Derivatives Exchange and Derivatives Clearing House
จำกัด (มหาชน) กรุงไทย KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED KTAM Mixed Fund (Not Specify Investment Proportion In Commodities; Not Specify Investment Proportion In Equity; Not Specify
กองทุน ดาโอ จำกัด ดาโอ DAOL INVESTMENT MANAGEMENT COMPANY LIMITED DAOLINVESTMENT Mixed Fund (Not Specify Investment Proportion In Commodities; Not Specify Investment Proportion In Equity; Not Specify
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Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance