Bangkok, 30 October 2017 ? The SEC is seeking public comments on the draft amendments to the ongoing capital requirement rules, which are imposed on asset management companies. The hearing also
burdens and operating costs of private sectors. Currently, there are 68 ongoing projects. Based on the initial assessment, once all 83 projects have been completed, they are expected to help reduce
) any business operator, which has not been permitted to operate business yet in any particular category, given the SEC Office’s ongoing process of inspection before operating business, shall be exempt
such situations are of particular importance. There are ongoing considerations in a number of jurisdictions as to the full extent of the application of fiduciary duty across the investment chain. 6.2.3
reduced expectations of a Federal Reserve policy rate increase and positive factors domestically, in particular, seasonality and Thailand’s ongoing current account surplus. Nonetheless, the Baht
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
challenging to audit due to high degree of judgment required. • Complex transactions • Complexities of auditing IT : in particular in the areas of valuation, internal control and evidence of work performed
wrongdoings, both in the manners of fraud and unfair securities trading, and the SEC has taken legal actions against these offenders in many cases. In this particular case, the SEC has filed a criminal
services in the particular circumstances This checklist reviews such policies and procedures of the firm. Sr. Particulars Reference /Guidance Notes Description A Client Acceptance: 1 Have there been any