https://publish.sec.or.th/nrs/3872se.pdf .... the Office in accordance with form and procedure together with supplementary documents as specified in the electronic work system of the Office. Clause 11 In
SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
or falsifying documents. SEC has therefore issued regulations specifying suspicious circumstances and the procedure for obtaining facts relating to such circumstances to be in accordance with the
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment
scheme, {F} and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts.Their actions were in
number of unitholders less than 35 will apply when the fund is traded in the secondary market and the dissolution procedure is the same as listed funds. (3) Retail investors may redeem ETF investment
the registrar. The profit for the period therefore decreased as mentioned before. The Company has set procedure to solve the mentioned problem and believes that the ratio of net claim expenses over
, engagements review program and the scope of the review. A8 Does the firm perform pre-issuance review (hot review) of selected engagements as part of its monitoring procedures? Please describe the procedure for
same Act. As Paiboon agreed to enter the settlement procedure, the Settlement Committee therefore imposed a 6,028,563.75 baht fine on him.Vasant Thienhom, Deputy Secretary-General said, ?In cases where a