Association Associations related to securities businesses Summary of major provisions in supervising the related associations The SEC has the power to make an order for the directors or members to clarify
and license revocation, etc. In this regard, the scope of power of the order issuers varies depending on the level of penalty to be imposed on the offender. Appeal Any person who is affected by, and
of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the
of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power to order: (1) Clarification or disclosure of additional information; (2) Rec tification of the
consequence of binding the parties and the members of the class. The plaintiff or the counsel for the plaintiff shall also have the power to proceed with the execution of the case for the plaintiff and the
consequence of binding the parties and the members of the class. The plaintiff or the counsel for the plaintiff shall also have the power to proceed with the execution of the case for the plaintiff and the
long-term bonds. Only long-term bonds. Ratings - - - Required. [1] This means persons who are related to the issuer in terms of business relationship, investment, or administration and management of
securities company shall allow any person to have control over its administration or management except for exercise of shareholder’s right in shareholder meeting or management under agreement approved by the
Sanction is a recent enforcement power added by the Securities and Exchange Act (No. 5) B.E. 2559 (2016) and the Emergency Decree on Digital Asset Businesses of 2018 in order to improve efficiency of law
persons which could exercise power over fund management and exploit the fund for own benefits such as tax avoidance. Summary of regulations 1. Limitations on unitholding over one-third of the total