Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g., in-house, outsource, network firm? 2) How often the firm performs monitoring function? A2 Does
Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar
Rules, Conditions, and Procedure for Granting Approval of Trust Managers of Infrastructure Investment Trusts and Operating Standards
by CFC process? Does the alleged consent to extinguished the case by CFC process The SEC Office presents the case to CFC for consideration. CFC considers and imposes a fine. Does the offender pay the
operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case
fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
Administrative Procedure under the Derivatives Act B.E. 2546 and Trust for Transactions in the Capital Market Act B.E. 2550 (No. 2)
Administrative Procedure under the Derivatives Act B.E. 2546 and the Trust for Transactions in the Capital Market B.E. 2550 (No. 3)