Asset Management Co., Ltd.), has committed an offense with dishonest intent and obtained unlawful gains for himself or another person by authorizing a mutual fund of Solaris Asset Management Co., Ltd. to

persons to hold not more than 1/3 of total investment units sold.? In case any person or group of persons hold an amount exceeding the limit is barred from making additional investments, the asset

place; and (2) in cases where the person appointed as a fund manager is an employee of the investment management company, holding a position having either of the following characteristics: (a) a position

another person, called a trustee, with trust and confidence in order https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-trustact.doc Translation established under following Notifications

and REIT holders? right to approve an acquisition or disposition of key assets and related-person transactions. Key persons in establishment and management of REITs include (1) REIT manager which may

in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person

the SEC Board to include ordinary person investors in the “institutional investor” category. The revision to the definitions of the term will become effective as from 1 October 2022. This may cause

, the maintenance of net capital complies with the rules as stipulated in the Notification of the Securities and Exchange Commission, as the case may be; (b) In case of mutual fund management company or

Securities Companies shall be in accordance with Chapter 2; (3) Additional Rules for Proprietary Trading of Derivatives Brokers shall be in accordance with Chapter 3. The management of investment of a juristic

Companies shall be in accordance with Chapter 2; (3) Additional Rules for Proprietary Trading of Derivatives Brokers shall be in accordance with Chapter 3. The management of investment of a juristic person in