of an occurrence of any of the following events, the SEC Office shall have the power to revoke the approval for the establishment and management of a mutual fund: (1) the amendment of the scheme or
operation of a branch office; “fund manager” means a mutual fund manager or a private fund manager who performs the duty of making decisions on investment in or disposing of securities or any other asset
those documents and information and sending of such documents and information to the shareholders within the time specified by the applicable rules, regulations and law, or in case of occurrence of any
Sanctionary Provisions _________________________ Clause 30 The approval of an appraisal company in capital market and a lead appraiser shall be terminated upon occurrence of any of the following circumstances
the applicable rules, regulations and law, or in case of occurrence of any event which necessarily caus amendment or change of the determination of such dates and time to be made as appropriate. Please
by such financial institution whose license is revoked or whose operation is subject to control or suspension on the grounds that its business plan to rectify its operations or financial positions has
business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
No. ECF2 035/2562 23 September 2562 Subject Notification on the resolutions of the Board of Directors’ Meeting approving the purchase of the ordinary shares in KPN Academy Company Limited, the increase of registered capital, the issuance and the allocation of the newly-issued shares to specific persons (Private Placement) and the convening of the Extraordinary General Meeting of Shareholders No. 1/2019 (additional) To Director and Manager The Stock Exchange of Thailand Enclosure 1. Information M...