in the scheme. (4) For the mutual fund that invest in foreign countries : (4.1) The stock exchanges in the country where the mutual fund invest with over 10% of their NAV cannot open for normal
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
right is not less than 15 days. There are terms on compensation in the case where the company is unable to allocate shares to TSR holders exercising their right. The compensation must not be less than the
Placement of a Warrant (PP Warrant) Regulatory Summary Public Offering of a Warrant (PO Warrant) can be done in accordance with the following requirements: The offering company must be incorporated under Thai
) Prohibiting offering of all types of securities in accordance with the Securities and Exchange Act of 1992 in the case where the Stock Exchange of Thailand (SET) publishes a warning sign on any listed company
audit committees to start a meaningful conversion with audit firms on the quality of their audits. In Singapore?s context, ACRA has been exploring the potential of having an AQI framework and we are
the investment consultant in charge of such client?s account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be the true owner of the
in the scheme. (4) For the mutual fund that invest in foreign countries : (4.1) The stock exchanges in the country where the mutual fund invest with over 10% of their NAV cannot open for normal
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
business model of the company. ** This definition is in line with the G20/OECD’s definition of “Corporate Governance”: “corporate governance involves a set of relationships between a company's management