company where noncompliance with limitation on unitholding has been found. (an exception case shall be specified). 4. Procedures for holding investment units over One-Third Limit Where any person or
limitation period of the civil cases which may be requested for a Class Action in order to deal with the offence or liability under the Securities and Exchange Act B.E. 2535 (1992) and amended versions (“the
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
considered that auditor already performed duties in compliance with Section 89/25. However, in case auditor has discovered suspicious circumstance but the limitation on scope is imposed by client, as a result
Conference in 2008. This milestone reflects the SEC’s continued commitment to removing limitation on enforcement cooperation with foreign regulators. The SEC is among 126 regulators around the world (including
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