Assigned Not assigned Private Funds The private fund management company to exercise the voting rights on the client's behalf, the company shall act as follows: 1) Exercise voting rights at a meeting of
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
capital market are complicated and finding the evidence is difficult, especially electronic evidence which requires assistance from specialized agencies. Therefore, this cooperation between SEC and the
corporate bond business that is usually subject to high costs and time-consuming, complicated processes. The DLT platform can reduce costs and increase efficiency, transparency and competitiveness of
) Reducing debt securities notifications to ensure less complicated rules and more convenience for stakeholders; (2) Reviewing regulations to be up-to-date and consistent with other regulations on other types
extended to 7 business days as from receiving complete information to reflect need to work on more detailed and complicated information. The consultation paper is available on www.sec.or.th. Stakeholders and
years Underlying shares being newly issued shares of the company Having a definitive price and the exercise ratio Allowing a period of time to indicate the exercise of right not less than 15 days before
due diligence and care in the same manner as a professional would exercise in like circumstance and with regard to customer’s best interest. SEC Act S.133 Settlement Committee Meeting No. 11/2022
prepare and submit the report on the results of the Exercise of warrant to the SEC office within the period specified in the notification of the SEC resulted from the instruction or the failure to give