lawyer or the Lawyers Council of Thailand under the Royal Patronage. How SEC Complaint Center handles a complaint: ● SEC Complaint Center will commence handling of your complaint when it has been
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
the days of the significant errors in the valuation (at least one satang and worth at least 0.5% of the correct value or price); (2) Take any actions to ensure that the investors are informed the
the days of the significant errors in the valuation (at least one satang and worth at least 0.5% of the correct value or price); (2) Take any actions to ensure that the investors are informed the
private fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
mutual fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of private fund management shall commence
sufficient information for investors to make an informed investment decision. Existing shareholders affected by dilution – the company must disclose clear and sufficient information in the notice calling
unitholders are informed of the access to such information channels via an email/SMS/ link to the website. Closed-end Funds Open-end Funds An annual report shall be distributed within 3 months from the
printed/ CD; (2) Publicized on the mutual fund management company's website, provided that the unitholders are informed of the access to such information channels via an email/SMS/ link to the website