Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Registration and Qualifications Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act
Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Auditors Type Title Section See Document Status Notified Date Effective Date 1. Act The Securities and Exchange Act B.E. 2535 106 12
(section 14 and 19) |- Major Shareholders |- Branch Office |- Net Liquid Capital (section 97) |- Capital Reduction |- Anti-fraud Provisions (section 98(3)) |- Forward Transactions/OTC Equity Derivatives
|- Code of Conduct |- Fees |- Related Circular Letter Bond Dealer and Underwriter |- Fees (section 14 and 19) |- Major Shareholders (section 90 and 91) |- Advertising (section 98(10)) |- Statutory
(Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed
/ Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered
Paragraph 1 shall be completed within twenty- one days from the date of obtaining the approval from the general shareholders’ meeting, but no later than four months from the end date of the fiscal year
year shall be completed within twenty-one days from the date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise
completed within twenty-one days from the date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise specified by the SEC