comply with rule preventing any person or group of persons from holding more than 1/3 of total investment units sold which has already been applicable to other types of mutual funds. In case where any

, in the aspect of investor protection, the proposed regulation requires that Thai listed company offering ESOP must comply with criteria for existing shareholder protection (i.e. dilution effect). In

affect POLAR investors and shareholders. In this regard, POLAR's failure to comply with the order of the SEC is liable to contravention of Section 58 (3) of the Securities and Exchange Act B.E. 2535 (1992

succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal

the client. Her actions were therefore deemed as interfering with client's assets and failing to comply with professional standards of conduct. On {B} case, the SEC received a client's complaint stating

must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together

would improve the financial reporting forms used by such intermediaries to meet the following objectives: ?1.? To comply with the revised financial reporting standards of the Federation of Accounting

for listed companies.The new rule would benefit listed companies that comply with good corporate governance principles when they plan to conduct a PO, provided that certain stipulated conditions are met

companies comply with the following key regulations:   1) To provide several investment plans for members to choose from, including a qualified default policy for those without expressed preference;  2) To

meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to the current AIMC guidelines, to also comply with the Global Investment Performance Standards (GIPS