adequate manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; (6) for central securities depositories, systems and rules with
of Possible Contraventions of the SEC Act B.E. 2535 75 International Relations 79 The SECûs Financial Statements 96 Our Website (www.sec.or.th) APPENDICES SCE_Eng_p.1-16 10/29/04, 1:05 AM3 4 MESSAGE
Arbitration Procedures Investigation of Possible Contraventions of the SEC Act B.E. 2535 (1992), Procedure for Investigation, and Criminal Action Procedure Summary of Settlement and Legal Actions in the Year
The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online
duties and rules on conflicts of interest for directors, and introducing characteristics that would make an individual unfit to be a director. Shareholder’s rights to amend the meeting agenda, approve
filing of mutual funds The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents
Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements
. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies
and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards
footprints and impacts on climate change and enhance competitiveness of the Thai capital market through business sustainability. The SEC is proposing to amend the regulation on filing the application for