following month, and within two working days from the date NC =< 1.5 times of minimum requirement Quarterly Reports Quarterly Complaint Handling Summary (Notification No. TorThor/Khor/Dor/Nor. 62/2552
required to observe the following : 1 . NC or NCR ≤ 1 . 5 times of minimum requirement ( early warning level ) that is 1 . 1 For the case of securities company operating only securities or
restrictions not more than three times of the equity (the same as applied for IFFs) 8. Information disclosure filing forms information disclosure at the minimum as specified by law the same criteria as
unitholders shall be sought through an organized meeting 7. Leveraging (including issuing of debt instruments) no restrictions not more than three times of the equity (the same as applied for IFFs) 8
IFF is allowed for a borrowing ≤ 3 times of the equity and the debt shall be a non-recourse type of debt. Fund unit holding An individual or a group of associated persons shall not hold more than one
specified period. The associations shall prepare a balance sheet once in every twelve-month period, and an annual report on results of the operation to be presented to the general meeting of the associations
fund has net profits or retained earnings in the accounting period of dividend payment is less than the dividend payment calculated, the mutual fund management company shall pay out whichever amount
one month from the completion of the offering period. (2) The company may cease the offering of investment units for sale during the IPO period by notifying the SEC within seven days from the date of