PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
enable investors to easily compare the fund’s performance with the performance of its peer group at the point of sale. The management company should display the performance of such peer group according to
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
PowerPoint Presentation Considering Whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether offenses shall be extinguished
violation? In-dept investigation and Seeking further evidence End YES NO Considering whether to constitute law violation NO YES Taking legal action(s) Administrative Action Civil Sanction Criminal Action
have been arranged in compliance with the requirements in the commitment or the law; (3) provision that the management company can refuse to display any name in the register of unitholders in the case
characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of occurrence. Supplementary
3+ˇ2#6Iˇ+ˇI2@'Gˆ.pdf Workshop: Developing a climate action transition plan for investors Workshop Overview Date Friday, March 22nd 2024 Time 10-12pm BKK (11-1pm HKT) Format Online Language English
PowerPoint Presentation Considering whether it constitute law violation Taking legal action(s) Administrative Action Civil Sanction Criminal Action CSC considers whether a civil sanction is proper to
person who sends orders to the derivatives broker to take any action regarding the assets in the client’s account is the rightful account owner or a person who has been authorized by the rightful account