Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client; (b) is inconsistency or inappropriateness with conditions of such intermediary’s business; (c) is

Estate Investment Trust. Clause 2 REIT shall report to the SEC Office immediately when one of the following circumstances occurs: (1) any circumstance that may affect REIT to be dissolved; (2) any

to deliver gold to the foreign bank at the agreed quantity and price. Under the agreement, in case Tungkum fails to deliver gold, THL will be obliged to pay the compensation for the difference between

requested by a unitholder. The provisions of paragraph one shall not apply to a mutual fund which is subject to dissolution due to any condition under Clause 102 and Clause 103 which occurs before or on the

Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited as a guest speaker to deliver a lecture on the topic “Capital Market and Investment

collective investment scheme to a client on condition that the units are in the announced list on the SEC Office’s website which were verified by the SEC Office under the Notification of the Office of the

collective investment scheme to a client on condition that the units are in the announced list on the SEC Office’s website which were verified by the SEC Office under the Notification of the Office of the

Audit Committee of the listed company if there is any suspicious circumstance that indicates that a director, manager or the person responsible for the operation of the juristic person may have

the principle  and the draft regulation which would require the auditor to report to the Audit Committee of securities company** or the Audit Committee of listed company any suspicious circumstance

Compliance) to the SEC through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person