operations during rectification period and undertakings in case of failure to rectify. The proposed revision aims to mitigate undesirable impacts on securities firms? clients and counterparties as well as the
Bangkok, July 15, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing counting unitholders? votes in case of multi-class funds, including retail funds, property funds
companies and derivative business operators take full ownership of the written BCM policy and enforce strict implementation of the BCM plan. In case of outsourcing business functions to service providers, the
theirs. In the case of REIT, a subsidiary means a company in which REIT invests indirectly through shareholding and which holds ownership of the invested assets. In addition, REIT must hold at least 99
during March ? May 2008 and August 2010 and MAX shares in September 2010, the SEC probed into the case and found that Shine and others had continuously sent securities trading orders through trading
Management Co., Ltd., and Surasak Sakrittiron. Following the report from Tisco Asset Management Co., Ltd., the SEC probed into the case and found that Thanjira submitted the documents of buying/selling orders
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
2026), the SEC has determined that the matter does not constitute a case involving special necessity or urgency as prescribed by law. Accordingly, the SEC has extended the public hearing period to 30
conditions in order to persuade other investors to buy or sell such securities. 31/07/2021 filed a lawsuit to a civil court26/03/2018 referred the case to a state attorney for filing a lawsuit to a