units Conversion of a Closed-End to an Open-End fund Amalgamation and merger of mutual fund Procedures in a case of defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting
an Open-End fund Amalgamation and merger of mutual fund Procedures in a case of defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure
defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed
instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed funds Additional rules
party serving as the trust manager under the trust instrument; “financial advisor” means a financial advisor in the list approved by the SEC Office; “registration statement” means the registration
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other asset to the instrument holder
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
an independent director) Trustee's duties A trustee shall have a trustee license and is independent from a trust manager. A trustee's main duties are to: oversee that the trust instrument is
SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2014ANNUAL REPORT 2014 CONTACT INFORMATION This report can be downloaded from www.sec.or.th For more information about this report, please contact: SECURITIES AND EXCHANGE COMMISSION, THAILAND 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok, Thailand 10900 Tel. 1207 or +66 2695 9999 e-mail: info@sec.or.th This 2014 Annual Report is about policies, strategies and performance of the SEC. We aim to supervise and develop the Thai...