/suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering
management company shall disclose the name of fund managers of each mutual fund in a report or document sent to unit holders at least once a year and in the web site of the management company. In case there is
site of the management company. In case there is any change of information, the management company shall update the list in its web site within fourteen days as from the date of change. Chapter 3 Person
derivatives exchange [OTC derivatives], the derivatives broker shall provide such services to Institutional investors only, in which case the provision of Clause 17 and Clause 19 shall not apply. In providing
exchange [OTC derivatives], the derivatives broker shall provide such services to Institutional investors only, in which case the provision of Clause 17 and Clause 19 shall not apply. In providing the
greatly, whether the ICO constitutes securities offering under the SEA shall be determined on a case-by-case basis. 2.2 ICO process • Technically, ICO process can apply to any types of securities. However
securities, provided that: (a) In case the number of the securities which the applicant intends to acquire will not result in the applicant becoming a shareholder with the voting rights reaching or exceeding
agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of Thailand (BOT), the Office of the Insurance Commission (OIC). In the case where no wrongdoing is detected, the SEC