lawsuit. For example, in case of damage resulting from a breach of contract, compliance with the agreements specified in the contract is required such as sending a notice prior to filing a case. The SEC has
the SEC views that the appointed directors have infamous conducts, or there is a cause to reasonably suspect of their being threats to the economy and stability of the country or to the public order or
mutual fund is in a transition period for another management company to take over. The transition period shall not be longer than three business days. (6) The mutual fund is in the process of dissolution
limitation period under the Securities and Exchange Act, for example: - the rights to claim compensation due to purchasing securities related to information from the person who filed a false registration
Placement 4 th case: the offer to sell PP shares which is not falling under 1st to 3rd cases Conditions for approval A listed company is prohibited from advertising the offer to sell new shares to
Trust (REIT) is a fund mobilizing vehicle for business entities to finance the current activity or to develop a new project. A REIT provides investors with an alternative in investment, and benefits from
documentation as specified in Form 35 – ARFP CIS to the SEC Thailand for the ARFP Passport Fund Remark: Form 69 – CIS full forms an integral part of Form 35 – ARFP CIS . CIS Operator is required to complete
make an argument with evidence against the allegation before the SEC commences the consideration of the case except when it is necessary and appropriate for the SEC to take a prompt action to prevent
rules for the trading, clearing and settlement of securities must be approved by the SEC Board. In the case where there are adverse effects to the public or the economy, the SEC Board has the powers to