Related Regulations The purpose of the restriction on unitholding in mutual fund above one-third of the outstanding investment units is to promote the more extensive distribution of investment units. The
Related Regulations The purpose of the restriction on unitholding in mutual fund above one-third of the outstanding investment units is to promote the more extensive distribution of investment units. The
Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
limitation period of the civil cases which may be requested for a Class Action in order to deal with the offence or liability under the Securities and Exchange Act B.E. 2535 (1992) and amended versions (“the
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
- Applicable to the offering of bills and bonds. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and conditions and a
considered that auditor already performed duties in compliance with Section 89/25. However, in case auditor has discovered suspicious circumstance but the limitation on scope is imposed by client, as a result
considered that auditor already performed duties in compliance with Section 89/25. However, in case auditor has discovered suspicious circumstance but the limitation on scope is imposed by client, as a result
the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc
Conference in 2008. This milestone reflects the SEC’s continued commitment to removing limitation on enforcement cooperation with foreign regulators. The SEC is among 126 regulators around the world (including