securities business supervision: For example, repeal of the minimum requirement of paid-up registered capital of securities company, allowing the SEC Board to use discretionary power to prescribe required
unitholders of each fund. (3) In requesting for resolution, the asset management company is required to : 3.1) Specify details of the new scheme and commitment; 3.2) Request a resolution of the unitholders
for such accounting period upon the dissolution date of the mutual fund. 4.4 Preparation of a 6 month-period report and an annual report is not required for the mutual fund which has the term period
unitholders of each fund. (3) In requesting for resolution, the asset management company is required to : 3.1) Specify details of the new scheme and commitment; 3.2) Request a resolution of the unitholders
documents which are in accordance with the form and procedure provided on the website of the SEC Office: (a) An application and supplementary documents; (b) A letter certifying that the person has
same rights deriving from the same facts and legal principle. In 1995, Class Action was supplemented as Section 222/1 to Section 222/49 under the Civil Procedure Code of Thailand. The additional
PowerPoint Presentation Procedure for Investigation and Enforcement Measures Sources of Information to stimulate enforcement actions The SEC Office’s preliminary consideration Has a sign of any
January 26, 2015, the Bangkok South Criminal Court found an defendant was death, the right to prosecute shall be extinguished pursuant to section 39(1) of Code of Criminal procedure. The Court disposed of
sufficient and effective system for Know Your Customer and Customer Due Diligence : KYC/CDD procedure between October 4, 2018 and April 11, 2022 which violated section 133 paragraph 2 of the Securities and
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By