the public prosecutor in writing to file a civil lawsuit against (1) and (2) for imposition of the maximum applicable civil sanctions comprising a monetary civil sanction of 12,005,620 baht plus
comply with rule preventing any person or group of persons from holding more than 1/3 of total investment units sold which has already been applicable to other types of mutual funds. In case where any
market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable
, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved the relaxation on rules applicable to mutual funds for AIs (institutional and high net worth investors). The relaxed
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to retail funds and private funds to invest in financial instruments of the Greater
Securities Act and the Tor Chor. 12/2554 Notification. The said price is the minimum price as required under the relevant laws and regulations. Nevertheless, ACO I will be required to fix the final tender
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
, for the purpose of listing my name onto the Issuing Company’s Director and Executive Database of the company, to inspect my personal information relevant to consideration of the SEC Office and to