’ decisions making; (2) explaining or revising information; When proceeding as prescribed in the first paragraph, the SEC Office shall temporarily stop calculating the period of the effectiveness of the
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
its behalf, immediately inform the SEC Office of the postponement of redemption payment and submit a report explaining the reasons of the postponement as well as proof of approval of the mutual fund
investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
sustainable development of the securities issuers. In this connection, the annual registration statement (Form 56-1) and annual reports (form 56-2) will be revised with the aim of clarifying the information
found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
seeking unitholders? resolutions. The rules governing debt-liked investment units and the rules on seeking unit-holders? resolutions for capital reduction will also be revised with the aim of clarifying and