Investment categories Key features Fund unit holding Acquisition/disposal of assets/execution or amendment of contracts/ and transactions with related parties Distribution of dividends Valuation of
Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company
directors’ respective roles and responsibilities, linked to their individual and company performance, and provide incentives for the board to lead the company in meeting its objectives, both in the short and
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of 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
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
5. Asset valuation no restrictions - the appraisers have experiences + expertise in valuation of infrastructure assets; - a renewal of asset valuation is required every three year 6. Unit holder