Related Regulations The purpose of the restriction on unitholding in mutual fund above one-third of the outstanding investment units is to promote the more extensive distribution of investment units. The
, derivatives clearing house, the association of derivatives business operators, persons who fail to pay the fees specified under the Derivatives Act, directors and executives of the juristic persons above (under
(public hearings / focus group) 3. นำหลักการเสนอคณะกรรมการ ก.ล.ต. / ก.ต.ท. (กรณี ประกาศสำนักงาน จะไม่มีขั้นตอนนี้) 4. จัดทำร่างประกาศ 5. เปิดรับฟังความคิดเห็นร่างประกาศ (public hearings / focus group) 7
with the offering price lower than 90 percent of the market price, to a specific investor or group of investors whether in private or public. Calculations of the offering price Shares
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
pros and cons and the costs of compliance 4. Seek approval for the measure from SEC Board/CMSB/SEC Office 5. Conduct public consultation on the measure: focus group meetings/public hearings This
. The above provisions do not apply to mutual fund that focus on a one-time investment strategy and have a term of less than one year as from the date of registration as mutual fund. An annual report
on a calendar year shall be submitted within 4 months from the end of each accounting period. The above provisions do not apply to mutual fund that focus on a one-time investment strategy and have a