the following matters: (1) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime
) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime, which are capable of protecting
of the Office of the SEC. Chapter 2 Special Purpose Juristic Person Section 9. A special purpose juristic person may be established in the form of a limited company, a public limited company, a mutual
the fund as a result of court judgment or order; (d) money https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-pvd2007-no3.pdf Microsoft Word - SEA-ÃÒ©ºÑº 6-3-51.doc public or; (3) use of
-amended.pdf Microsoft Word - SEA-ÃÒ©ºÑº 6-3-51.doc public or; (3) use of asset or business opportunity of the company in contravention to the rule or general practice as specified in the notification of the
Special Purpose Juristic Person Section 9. Securization under this Royal Enactment shall be processed by a special purpose juristic person established in the form of a limited company, a public limited
units; (10) any other instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the notification of the SEC. "debenture" means any debt instrument
protect the public interest. SECTION 35/1.5 Subject to Section 33, the SEC may grant a waiver of compliance to a company established by and subject to a foreign law whereby measures for investor protection
. Supervision of Mutual Fund Management and Fund Voting 4/10 • Enhancing mutual fund management supervision for better protection of unitholders’ interests • Improving fund voting mechanism for asset management