procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment units of any scheme, should any of the
client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the
to receive financial incentives in order to favor the interest of one client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
เรชั่น COCO 30/6/43 3/7/43- 7/8/43 Sithe Pacific Holdings Limited บจ.ฟินันซ่า 156,183,800 12.97 156,185,237 12.97 50.01 20.33 3,175 ล้าน 11 บมจ.ลากูน่า รีสอร์ท แอนด์ โฮเท็ล LRH 10/8/43 11/8/43- 15/9/43
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of giving
under the law on securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients
/5- 28/7/40 ABN AMRO Hoare Govett Asia (Holdings) Limited บงล. ทิสโก้ จก. (มหาชน) 52-63 ล้าน 35 - 48.46 46,155,219 35.50 35.00 72 บมจ.ไดนาสตี้ เซรามิค (DCC) (18/12/40) 23/12/40- 26/2/41 นายรุ่งโรจน์