; any legal entity company obtaining securities business license in any other categories exempted by the SEC’s Notification on the ground that the major shareholder’s qualifications will not affect
Introduction SHARE : Detail Content Class Action is a type of civil proceedings whereby one or more plaintiff brings a civil lawsuit in order to protect the right of oneself and a group of persons who have the
dissolution of mutual funds 19.1.1 Closed-end mutual fund (1) In the case that the number of unitholders of an institutional fund is less than 10 on any business day, except for the mutual fund of which the
dissolution of mutual funds 19.1.1 Closed-end mutual fund (1) In the case that the number of unitholders of an institutional fund is less than 10 on any business day, except for the mutual fund of which the
association relating to securities businesses with the objectives of promoting the operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so
) (1) A mutual fund having the investment policy in money market funds which specify constant offering and repurchase prices all the time, or MMF constant NAV, shall not file for automatic approval of
) Assessments of performance results of the private fund; (2) The name of the custodian; (3) Investments and performance results of the private fund; (4) Material changes in the private fund; (5) Information
) Assessments of performance results of the private fund; (2) The name of the custodian; (3) Investments and performance results of the private fund; (4) Material changes in the private fund; (5) Information
: Clause 1 Any securities company obtained some but not all of the securities business licenses in the category of securities brokerage, securities underwriting and securities dealing, may file an
the number of investment units on the next business day. 8.2 The payment for redemption of the investment units within the period specified in the schemes, the timing which should not exceed the