# SEC hearing on amendments to expand asset managers’ compensation options for mutual funds in pricing errors

- Link: https://www.thailand-business-news.com/markets/240834-sec-hearing-on-amendments-to-expand-asset-managers-compensation-options-for-mutual-funds-in-pricing-errors
- Published: 2025-08-30T16:31:28+07:00
- Author: SiamNews PR

**The SEC is seeking public comments on proposed amendments for asset management
company regulations to improve flexibility in compensation for incorrect pricing,
ensuring investor protection while maintaining benefits.**

---

The Securities and Exchange Commission (SEC) is inviting public feedback on proposed
principles and draft amendments to regulations governing operational guidelines 
for asset management companies (AMCs). These amendments introduce additional compensation
options for situations involving errors in calculating investment unit value or 
pricing. The initiative aims to enhance flexibility in mutual fund management while
safeguarding investors’ rights and ensuring they receive appropriate protection 
and benefits.

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Currently, the existing regulations regarding compensation for incorrect calculation
of investment unit values require AMCs to compensate by reducing the number of units
held by the buyers or the sellers who have benefited more than they should have (
in an amount equal to the difference between the incorrect and correct unit prices).
However, these regulations do not cover the method whereby AMCs use their own funds
to pay a compensation to the affected mutual funds instead of reducing the number
of units. In other cases, the regulations do allow AMCs to compensate using such
method. 

The SEC has therefore reviewed the regulations regarding the operational guidelines
for AMCs in case of incorrect pricing. This is to provide AMCs with greater flexibility
in fund management, while ensuring that investors continue to receive appropriate
protection and do not lose any rightful benefits. The SEC is inviting public comments
on the proposed principles and draft regulations, with the key points as follows:

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(1)  To provide an additional option for AMCs to pay compensation from their own
funds to the affected mutual fund as an alternative to reducing the number of investment
units held by the buyers or the sellers who have benefited more than they should
have (in cases where they still have a sufficient number of units at the time of
compensation); 

  (2)  To increase flexibility for AMCs to pay monetary compensation for losses 
resulting from incorrect pricing to the mutual fund or affected parties in an amount
greater than the actual loss incurred. For example, compensating in consideration
of opportunity cost.  

The public consultation is available at the SEC website at [https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=1102](https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=1102).
Stakeholders and interested parties are invited to submit their comments and suggestions
via the website or email: suppawit@sec.or.th or jirapathara@sec.or.th. The public
hearing ends on 21 September 2025.    

**Source** : [SEC public hearing on proposed amendments to allow asset management companies more options for monetary compensation to mutual funds in case of incorrect pricing](https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=11991&rand=113627)