: Annual Registration Statements (form 56-1) and Annual report (form 56-2) Important information that must be disclose are, such as, Risk factors Type of operation Capital structure Management structure
association relating to securities businesses with the objectives of promoting the operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so
. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor
mutual fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
private fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
Fund > Management of Mutual Fund > Exercise of voting rights in a shareholders’ meeting Regulations SHARE : Detail Content Management of Mutual Fund 16. Exercise of voting rights in a shareholders
Fund > Management of Mutual Fund > Exercise of voting rights in a shareholders’ meeting Regulations SHARE : Detail Content Management of Mutual Fund 16. Exercise of voting rights in a shareholders
; (2.3) There are causes and necessities in order to protect the benefit of the investors. Should the mutual fund management company require to stop the operation longer than 1 business day, the