management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make
auditor qualifications in relation to experiences and introduction of new measures and sanctions relative to levels of misconduct ranging from minor to serious. In addition, the approval criteria for
(“TIES”) (now known as “T”) shares between 2010-2012 which when combined with TIES shares held by his spouse and his minor child caused his aggregate holding of TIES shares reached or passed five percent
”) shares on October 13, 2014 which when combined with TIES shares held by her spouse and her minor child caused her aggregate holding of TIES shares reached or passed five percent of the total number of
minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall be voidable unless regulated otherwise, etc
damage, [ii] other circumstances indicating that the applicant is facing financial distress, or [iii] reasonable grounds to believe that the applicant has any deficiency or inappropriateness in operational
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
consequently affect confidence in securities business and the capital market at large; (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was
minor error occurred during the drafting. The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=676. Stakeholders and interested parties are welcome to send comments
prospectus to be clear and concise by taking into account recommendations from industry.The proposed revisions aim to (1) simplify format for information disclosure, (2) facilitate minor amendments to be more