characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
based on existing key principles aiming to ensure that (i) retail fund?s investment units will be allocated to general investors; (ii) retail fund will not be used to seek undue benefit for any particular
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
investors.In addition, the SEC asked asset management company to develop mutual funds to serve demand for savings and tailored for particular groups of investors, for instance (i) mutual funds for savings
, and infrastructure funds. The proposed issues concern seeking the unitholders? resolution that either impacts all classes or a particular class of investment units; counting votes of persons or group