in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
holders, investment decision, or price of the securities might be impacted, the SEC will order the company to have a special audit on such financial statements and report the result of such audit to the SEC
) กรณีที่กองทุนรวมบันทึกมูลค่าตราสารหนี้เป็น “0" หรือกรณีที่ผู้ออกตราสาร หนี้มี potential default ให้ผู้ถือหน่วยลงทุนทุกรายที่มีชื่ออยู่ในทะเบียน ณ วันที่ บลจ. ได้บันทึกมูลค่าตราสารหนี้เป็น “0" หรือวันที่
information which might affect the qualifications of the company is concealed. Offering price for PP is lower than IPO after the date of application, the company is prohibited from offering to sell PP at a
, as well as taken into consideration the potential impact on the unitholders of each class. (3) Naming a mutual fund The name of a mutual fund shall not mislead investors about features, types
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage conflict of interests. The company must not be dependent on the business of a person who may have a conflict of