of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551 (2008
damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity
applicable to mutual fund management company, but AIA Company Limited failed to comply with the provisions being applicable to mutual fund management company in case of redemption payment process when the
period of panic redemption, especially crisis communication plan. SEC Act S.117 Settlement Committee Meeting No. 3/2022 Settlement Committee Order No. 54/2022 Dated 28/03/2022
of panic redemption, especially crisis communication plan which violated section 117 of the Securities and Exchange Act B.E. 2535 amended by the Securities and Exchange Act (No. 4) B.E. 2551. SEC
Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of Mutual Fund (“Form A-2”) to the SEC
application and approval for an offer for sale of debt securities under this Part shall have the arrangement for payment of debt securities and repayment in respect of the debt securities in Thai baht. Chapter
being offered in favour of subscribers or purchasers. 4. In the case of pre-emptive purchase rights, the procedure for the exercise of any right of pre-emption, the negotiability of subscription rights
required to be maintained as set out by a securities company; “client’s assets” means the net value of cash, securities and other assets deposited as collateral for debt repayment in a client’s margin