Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
our intentions and commitments to appropriately responds to the needs of the public and stakeholders in supervising and developing a sustainable capital market, and to efficiently and effectively
Governance As an agency with missions for promoting, developing and supervising the capital market, the SEC strives to ensure transparency and credibility of our own operation as well as fairness to all
Techamontrikul Member Subcommittee on Governance and Remuneration (Office term of two years ) The Subcommittee has a duty to propose policies and workplans for developing organizational governance, as well as
duties with efficiency, fairness and transparency; focuses on promoting and developing the operation of the securities businesses. At present, three associations related to the securities business are as
past year, there is no record of being ordered to amend its financial statements or to explain or being temporarily banned from trading its listed securities under the Trading Suspension sign (SP), etc
) Where the number of unitholders at the closing of the registrar is less than 35 and the mutual fund management company does not want to dissolve the fund, the company is allowed to amend the situation