performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account
to action as follow: 1) Company is required to disclose an information memorandum on the entering into such transactions to SET 2) Company is required to deliver a notice to the shareholders within 21
Placement) with a Discount of not more than ten percent of the Market Price (Enclosure 1) Capital Increase Report Form (F 53-4) (Enclosure 2) Clause 9. Schedule of action where the Board of Directors of the
4 To select credit rating information under 18/2, securities company shall comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and
comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information
ทดสอบผลิตภัณฑ์กองทุนรวม (Product Testing) 10 ด้านท่ี 3 การคัดเลือกตัวกลางในการเสนอขายหน่วยลงทุน และการสื่อสารข้อมูลเกี่ยวกับผลิตภัณฑ์กองทุนรวม (Distributor Selection and Communication) 11 3.1 การคัดเลือก
same proportion in the investment value of secure loan and unsecure loan. The Company selection to purchase non-performing loans mainly considered the return on investment to create profits to
ว้เห็นว่า เหมาะสม และ เป็นธรรม (product screening and selection) 2. จดัให ้มีการเปิดเผยขอ้มูลแก่ผูล้งท ุนอย่างเพ ียงพอ โดยอาจมีเคร่ืองมือหรือ ส่ือประกอบการอธิบายหุ้นกูด้อ้ยสิทธิคลา้ยทุนเพื่อช่วยให้บุ
operation; risk management; selection and monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties and internal control measures to