qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
settlement of dispute between the securities company and the customer. In the case where the securities company lacks of qualification under (3) or (5), the securities company may be granted an approval from
investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases
fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases where the application for establishment and management of the mutual fund has
obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five
2017 and Annual Report of the Board of Directors in relation to the Company operating result in respect of the year 2017, which is subject to the approval of the Annual General Meeting of Shareholders No
on financial instruments in the nine month period of 2020 were Baht 224 million, a decrease of 82 percent compared to the nine month period of the previous year, due to the extreme volatility and sharp
to lower household income, sharp decline in employment, particularly in export-related manufacturing sectors, and high rate of household debt. Despite the government economic stimulus, the impact of
selling investment units or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the