Fining All the five administered laws stipulate that certain offences could be settled by a criminal fine.The Criminal Fining Committee appointed by virtue of such laws determines the fine. After the
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
-Unofficial translation- Ministerial Regulation No. 7 (B.E. 2539) Promulgated under the Securities and Exchange Act B.E. 2535 (As amended) By the virtue of Section 7 and the fourth paragraph of Section 90 of
(As amended) By the virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulations as follows
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
in a shareholders' meeting 17. Dividend payment 18. Fees 19. Procedure for dissolution of mutual fund 20. Relaxation of rules 21. Additional rules for guaranteed funds 22. Additional rules for a
in a shareholders' meeting 17. Dividend payment 18. Fees 19. Procedure for dissolution of mutual fund 20. Relaxation of rules 21. Additional rules for guaranteed funds 22. Additional rules for a
number of unitholders less than 35 will apply when the fund is traded in the secondary market and the dissolution procedure is the same as listed funds. (3) Retail investors may redeem ETF investment
number of unitholders less than 35 will apply when the fund is traded in the secondary market and the dissolution procedure is the same as listed funds. (3) Retail investors may redeem ETF investment