limitations (the case of holding more than one-third of total outstanding units over one year) Actions to be taken to comply with the “one-third" rule: Any person shall not hold investment units exceeding
Annualized return (%) Sources: Morningstar, Fund fact sheet, SEC database complied by Research Department of Thai SEC There were various policy actions taken by regulators. Making public awareness is one of an
, as well as taken into consideration the potential impact on the unitholders of each class. (3) Naming a mutual fund The name of a mutual fund shall not mislead investors about features, types
the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from operation during three consecutive years prior to the year of filing the application; (c) any step taken by the
show that its operational system will be prompt for operating securities business in the category of venture capital management; consideration on which will be taken into account its internal control
specify: ……………………………………………………………………………….. …………………………………………………………………………………………………………. …………………………………………………………………………………………………………. 4. Complaints that Complainant has taken Never complain this matter to the SEC
shared her perspective and vision for leading the SEC organization after recently assuming office. “I have taken on a new role in a familiar organization and working environment, with the primary goal of
Overall Risk Management Risk Management is an integral part of our organizational culture. We have established risk management policy and risk appetite, and risk management has taken into account when