Application for License to Undertake Business of Private Fund Management B.E. 2543(repealed No. 6 No. 14 and amended by No. 23) (Repealed) Concerning Approval on Undertaking of Securities Business in
company to have a special audit on such financial statements and report the result of such audit to the SEC. The information concerning the special audit shall also be disclosed on the SEC website for the
gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or make an argument with evidence against the allegation before the SEC commences the
disagrees with, an administrative order has the right to appeal such order. The appeal procedure is provided by the SEC Regulation concerning Filing, Considering and Making a Decision on the Appeal of the
conflicts of interest concerning the fund management, or hold a position that assumes the highest responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund
-Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking of Securities Business in the Category of Mutual Fund Management B.E. 2545 (As amended) By virtue of Section 7 and the
conflicts of interest concerning the fund management, or hold a position that assumes the highest responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund
to the SEC Office. 7. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint or legal prosecution for an offense concerning property by a relevant agency
complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale
Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work The Notification of the Office of the Securities and Exchange