asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
=system_name%3AInvestor%20Alert&start=1880&rows=10 1881 - 1890 of 1,945 results Sort by: Relevance Date (Newest) Date (Oldest) ประกาศคณะกรรมการ ก.ล.ต. กลธ. 10/2562 Rule Book for Asset Management ค้นหากฎหมาย/ กฎ
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
fund ("One-Third Rule"). As there is no such One-Third Rule in other ASEAN countries, the proposed revision aims to facilitate Thai investment management companies by exempting the said Rule from unit
Handbooks / Best Practices SHARE : Detail Content Fund Raising FORM 56-1 : Annual Registration Statement Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations
English (United States) rulemaking Laws/Regulations × Home > Laws/Regulations > Rule Making Process
total sold units, but asset management companies are still required to disclose information regarding unitholding over the one-third rule to investors and such unitholders are not allowed to exercise
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to
Rule for Acquisition and Disposition of Assets of Listed Companies. This disposition of asset has the objective to generate cash for the new projects which is for the best interests of the Company and
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval