Clause 22 An intermediary shall report the SEC Office in writing in case there is a certain fact appeared that the persons appointed or assigned to perform functions by the intermediary do not have the

characteristics in such case as the ground for prohibiting such person from performing duties. In this regard, the SEC Office may subject such person to certain condition or timeframe on a temporary basis. Clause

structure in compliance with the rules or conditions for approval under this Notification but certain facts lead to the consideration that the true intention or the substance of the offer for sale of the debt

network connection security, for example, limiting access to certain application services if connecting to external networks, etc.; (4) encrypt critical data stored on mobile devices and transmitted via

structure in accordance with the regulations or the conditions for approval under this Notification, but a certain fact leads to the consideration that the true objective or substance of such offering has the

Essays on Open-Ended on Equity Mutual Funds in Thailand Roongkiat Ratanabanchuen and Kanis Saengchote* Chulalongkorn Business School ABSTRACT Mutual funds provide a convenient and well-diversified option for households make intertemporal fund transfers for their future needs. In this collection of three short essays, we investigate open-ended equity mutual funds in Thailand that invest in domestic equity during 2005 to 2016. While these funds collectively account for only 13.4% of assets under m...

Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...

this Act contains certain provision relating to the restriction of rights and liberties of persons which Section 29, in conjunction with Section 41, Section 43 and Section 44 of the Constitution of the

banks have specified certain conditions precedent which have to be satisfied prior to the drawdown of loan. The conditions precedent are in line with the general conditions precedent for the drawdown of

20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...