. Offer for sale through an underwriter no restrictions with restrictions 4. Restrictions for unit holdings - any persons or a group of the associated persons not more than 50% of the total trust units sold
. Restrictions for unit holdings - any persons or a group of the associated persons not more than 50% of the total trust units sold. - trust manager can allot units for the trust manager, directors, executives
sanctions, namely: (1) a civil penalty; (2) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (3) a suspension of securities or derivatives
financial institution established under other laws; (2) have another securities company held its shares in the amount equal to or exceeding ninety-nine percent of the total paid-up registered capital on the
shares in the amount equal to or exceeding ninety-nine percent of the total paid-up registered capital on the date on which the Securities and Exchange Act B.E. 2535 comes into force ; (3) hold shares of
independence to effectively perform the duties. The criteria for consideration of independence include the followings: FAs' holding shares of an issuer who is a listed company must be less than or equal to 5
independence to effectively perform the duties. The criteria for consideration of independence include the followings: FAs' holding shares of an issuer who is a listed company must be less than or equal to 5
(public hearings / focus group) 3. นำหลักการเสนอคณะกรรมการ ก.ล.ต. / ก.ต.ท. (กรณี ประกาศสำนักงาน จะไม่มีขั้นตอนนี้) 4. จัดทำร่างประกาศ 5. เปิดรับฟังความคิดเห็นร่างประกาศ (public hearings / focus group) 7
of 2018: (1) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (2) a suspension of securities or derivatives trading for up to five
the applicant possesses prohibited characteristics as prescribed; Not appearing that its directors, manager and person holding executive position as a division manager or an equal position responsible