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

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

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

operator.  Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case

procedure to replace the performance of the audit committee because there is less possibility of damage to the customers and requirement of the audit committee may cause unnecessary burden on the business

identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect

penalties under Section 296 of the Act in conjunction with Section 86 of the Criminal Code. Both persons agreed to enter the settlement procedure. The Settlement Committee imposed a respective fine of 500,000

has been set up clearly with proper check and balance mechanism. Even SEC Secretary-General is unable to intervene the procedure, said SEC Secretary-General Thirachai Phuvanatnaranubala.

which is subject to sanctions under Section 296 of the Securities and Exchange Act B.E. 2535 (1992). As they agreed to enter the settlement procedure, the Settlement Committee therefore imposed a fine of