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
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
portal approval, an applicant must have the same qualifications and work systems required for equity crowdfunding, and must also have a system for assessing credit worthiness and risks of the debt
Commission (SEC) on this exciting engagement on the topic of assessing the landscape of Thai securities businesses after COVID-19 and under digital disruption. This assignment is timely for the SEC to
. 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