fund to exit from the closed-end mutual fund, (if unitholders opt to exit) the mutual fund shall comply with the following rules: 3.1 Pay for the investment units based on the NAV as of the business day
Does the firm have documented responses e.g., policies and procedures appropriate to the size and nature of the firm? B9 Does the firm’s leader communicate its policies for quality to its personnel? If
policy, and shall communicate the policy thoroughly in order to become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to
communicate the policy thoroughly in order to become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to conduct their
communicate the policy thoroughly in order to become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to conduct their
เปิดโอกาสให้ผู้ถือหุ้นที่ไม่เห็นด้วยกับการเปลี่ยนแปลงผู้มีอำนาจควบคุมกิจการสามารถขายหุ้นของตนได้อย่างเป็นธรรม (fair exit) และได้รับการปฏิบัติอย่างเท่าเทียม (fair treatment)? ดังนั้น การที่นายบีเสนอซื้อ
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
clients An intermediary shall pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients
due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients’ relationships of trust An intermediary
SEC, thus providing basic information for investors’ decision making and self-protection against capital market frauds. The mobile app is also a convenient channel for the SEC to communicate and keep