to support such policy? 3. Has the company's inspection ever revealed dishonest acts of its employees or executives? If so, how has the company dealt with such cases? And what are the company's
business, not having records of contravening or failing to comply with the criteria for offering securities in substantive matters. 1.3 Having obtained a clear resolution on approval for the capital
: Clause 1 Any securities company obtained some but not all of the securities business licenses in the category of securities brokerage, securities underwriting and securities dealing, may file an
Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 Any securities company obtained some but not all of the securities business licenses in
arrangement after having obtained special resolution of the unitholders. (3) If the mutual fund management company is unable to obtain specialresolution of the unitholders for an arrangement with a new
from a closed-end fund to an open-end fund is originally specified in the scheme prior to the first offering of the investment units, or a resolution of approval is obtained from the unitholders with
company must consider possible impacts on the unitholders. (3) A resolution of the unitholders, pursuant to rules specified in the scheme and the commitment, is obtained. (4) In requesting a resolution