Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, the CL
. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of
the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of Section
On 25 November 2023, the SEC ordered Zipmex to rectify its financial condition to comply with the rules on fund maintenance as the company failed to do so and subsequently suspended its business
) ................................................................................................................................................................. As the user of Company Account with the power and duty related to electronic submission of information to the SEC Office in accordance with the SEC Office’s Standard Procedures for Electronic
No. TorThor. 45/2553 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Securities Company to Establish Branch Offices (No. 2) _____________ By virtue of
, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018; “intermediary” means a securities company or derivatives intermediary, excluding venture
) Translation Securities and Exchange Commission Governing Rules, Conditions and Procedures for Approval of Property Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
the board of directors or the audit committee of company. Such plan shall compose of clear procedures, method and duration of work so as to enable personnel and units to perform their duties under (a