Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
member jurisdictions, which emphasizes the independence from the accounting profession of regulatory body. The Principle was aimed at providing a guideline for IOSCO members to implement their supervisory
in a shareholders' meeting 17. Dividend payment 18. Fees 19. Procedure for dissolution of mutual fund 20. Relaxation of rules 21. Additional rules for guaranteed funds 22. Additional rules for a
in a shareholders' meeting 17. Dividend payment 18. Fees 19. Procedure for dissolution of mutual fund 20. Relaxation of rules 21. Additional rules for guaranteed funds 22. Additional rules for a
number of unitholders less than 35 will apply when the fund is traded in the secondary market and the dissolution procedure is the same as listed funds. (3) Retail investors may redeem ETF investment
number of unitholders less than 35 will apply when the fund is traded in the secondary market and the dissolution procedure is the same as listed funds. (3) Retail investors may redeem ETF investment
> Complaints / Whistleblowers > Complaint Handling Procedure Contact us SHARE : Detail Content SEC Complaint Center Complaint Handling Procedure How to file a complaint: Please provide