exceeding the limit approved by the SEC, but not over 15% of the limit (greenshoe) and must be stated in the scheme. (3) The mutual fund management company must provide an evidentiary document of the rights
วะสุวรรณ คณะบริหารธุรกิจ ภาคบัญชี มหาวิทยาลัย เกษตรศาสตร์ • ผลงานวิจัยเรื่อง “A String of Earnings Increases, Future Earnings Uncertainty, and Firm Fundamentals” - Presentation - บทศึกษา โดย
must be clearly specified in order to avoid any doubt whether internal information is used to the benefit of the executives. The program must be administered by an intermediary, such as a securities
there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders
units over One-Third Limit 1. Limitations on unitholding over one-third of the total outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 1.1
the SET 5. Other criteria Criteria for authorizing IPO The past five years record must not contain doubt that information in filing and application is inaccurate or incomplete, or that important
redemption of investment units 2. Multi-class 3. Changing on type of asset class and investment limit in consistent with investment policy 4. Calculation and announcement of net asset values (NAV