and fund supervisor; (11) revision to the commitment; (12) criteria and procedures for requesting the unitholders’ resolution and effectiveness of the resolution; (13) compensation or remedy for damages
switching of classes must be clearly described in the scheme. (3) Seeking a resolution of unitholders in the case of a mutual fund of which investment units are classified: 1) Requesting a resolution on a
company must consider possible impacts on the unitholders. (3) A resolution of the unitholders, pursuant to rules specified in the scheme and the commitment, is obtained. (4) In requesting a resolution
. This time, SEC establishes the regulations concerning related businesses for applicants requesting operating licenses. Such businesses include standards for operating businesses and work systems
operations or to material information access, and submit the letter requesting a relaxation to SEC by 14 May 2020. For the companies that have already been granted relaxation on submission of financial
and subject to the penalties under Section 296 of the SEA. Therefore, SEC has filed a criminal complaint against the said persons requesting ECSD to consider legal action. Concurrently, SEC has
a request is made under this MoU. (r) “Requesting Authority” means the Authority making a request under this MoU. (s) “Securities and Exchange Act” means the Securities and Exchange Act B.E. 2535. (t
specifying securities, amount and price. The clients accepted his trading decision without asking for any information on market condition or relevant securities. In Kacha case, the SEC found that he did not