in the form of appropriate spending range, in the order of importance of the objectives. If the raised fund this time is inadequate for the objectives of spending as earlier specified, disclose the
. Dividend policy at minimum 70% of net profit AIS is committed to driving long-term growth while delivering returns to shareholders. We place importance on maintaining strong financial health and flexibility
related person under Section 89/14; (2) entering into transaction with significance to foreign ETF under Section 89/29; (3) acting in any manner to persuade unit holders of foreign ETF to give proxy to vote
warned the three branch managers against improper duty performance. Also, {X1} has already paid for the compensation in full for each affected client. Owing to this case, the SEC has found that {X1}'s
พ.ร.บ. หลักทรัพย์ฯ หลักการและเหตุผล การปรับปรุงหลักเกณฑ์การจัดการกองทุนรวม เพื่อรองรับการแก้ไข พ.ร.บ. หลักทรัพย์ฯ ม.124/1 ซึ่ง บลจ. ต้องจัดการกองทุนด้วยหลัก fiduciary duty และติดตามดูแลการกระทำที่อาจ
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness