company where noncompliance with limitation on unitholding has been found. (an exception case shall be specified). 4. Procedures for holding investment units over One-Third Limit Where any person or
company where noncompliance with limitation on unitholding has been found. (an exception case shall be specified). 4. Procedures for holding investment units over One-Third Limit Where any person or
. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith and intend to conduct the case to protect the interests of the class members. Secondly, the
initial issues that the injured person should realize before participating in Class Action. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith
Board's Notification No. Tor Lor Thor 8/2557 Re Rules on Personnel in the Capital Market Business. Qualifications of each type of fund manager and market analyst can be found below; Types of Fund
result of their good faith whistleblowing activities. Principle 6.1 The Board should ensure that the company has effective and appropriate risk management and internal control systems that
commitment to improve our supervisory standards to be widely recognized in an international arena. More details on IOSCO MMoU can be found at : https://www.iosco.org/about/?subsection=mmou • IOSCO
found in various jurisdictions raised serious concerns among capital market regulators on the quality of financial statements and more stringent quality control on audit work has been imposed to regain
company shall (1) calculate and correct the investment unit values retroactively from the day that the incorrectness was found; and (2) prepare a report on the corrections of the past investment unit values
Committee or the SEC later found out that company's executive did not commit dishonest act as accused, will there be any action taken against the auditor, as it may ruin the reputation of the alleged