management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
matter that may have significant impacts on the mutual fund's benefits; 3. Establish an operation system for auditing on exercising of voting rights; 4. Disclose to investors through an appropriate
Conduct Fees Related Circular Letter Securities Brokerage Business Business Operation Rules Securities Underwriter Business Business Operation Rules Securities Dealer Business Business Operation Rules
related to day-to-day operation, for instance, business judgment, issues relating to staff or internal operation; ● Complaints under the process of the court’s consideration or cases having reached final
the submitted reports or documents. SECTION 20. Any derivatives business operator which intends to cease operation in the derivatives business of the category so licensed or registered shall submit an
recognition was also extended to the companies? supporters. The awards were handed out to recognize the success of 16 companies, comprising Cho Thavee Dollasien Plc. (Khon Kaen); T.M.C. Industrial Plc., Namyong
relevant laws and regulations, activities relating to strategic intent with ability to communicate with all stakeholders. Level 2 ? Engaged: indicating intent to mitigate impact from business operation on