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

ยืดหยุ่น (flexible portfolio fund) บริษัท จัดการต้องกำหนดนโยบายการลงทุนให้ชัดเจน และจะต้องลงทุนในหรือมีไว้ซึ่งหลักทรัพย์หรือ ทรัพย์สินอื่นหรือการหาดอกผลโดยวิธีอื่นตามที่สำนักงานกำหนดหรือให้ความเห็นชอบให้

Principles2 to create a robust, flexible and effective certification system. Key features include: • Full alignment with the Green Bond Principles, Green Loan Principles,3 ASEAN Green Bond Standards,4 Japan’s

acknowledged the existence of such event; or (4) the rejection to sell an investment unit under an order which has been accepted or the suspension of accepting of purchase orders to a certain investor is due to