years; (3) a bar from serving as a director or executive in a listed company or a securities company for up to 10 years; and ( 4) a reimbursement of investigative expenses incurred by the SEC. A
from serving as a director or executive in a listed company or a securities company for a period not exceeding 10 years / a prohibition against acting as a director or executive of a digital token
derivatives business NCR ≤ 10 . 5 % or NC ≤ 22 . 5 million baht or 1 . 2 For the case of securities company holding derivatives broker license NCR ≤ 10 . 5 % or NC ≤ 37 . 5 million baht 1 . 3
applying for approval to be the major shareholder of the securities company or in any other report required to be filed with the SEC Office or SEC; (10) has worked in the manner indicating lack of ethic or
securities, as well as important conditions of securities Shareholding structure (the first 10) Shareholder agreements Policy for payment of dividends (both the company and subsidiary) Management structure
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
investment advisory service under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance
repurchased. 8.3 The mutual fund management company shall accept all purchase or the redemption orders except for the following cases : (1) The Stock Exchange / the over-the-counter centers are unable to open
of Mutual Fund > Relaxation of rules Regulations SHARE : Detail Content Management of Mutual Fund 20. Relaxation of rules A mutual fund management company may request the SEC's for relaxation of the