offence, the SEC Office may issue a written warning to the company against such improper act. Q: While under business rehabilitation by a plan administrator, is the company required to have an active
No. SorJor 38/2561 Re; Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparer and Plan Administrator Public Offering (PO) Secondary
the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from operation during three consecutive years prior to the year of filing the application; (c) any step taken by the
Management System) (ยื่นแบบแจ้งแต่งตั้งผู้เกี่ยวข้อง (EF2-4)) วิธีการใช้ระบบระบบแจ้งแต่งตั้งผู้เกี่ยวข้องในการนำส่งข้อมูลอิเล็กทรอนิกส์ คู่มือ EF-2 EF-3 คู่มือ EF-4 คู่มือ Account Administrator รายการ
, plan administrator and interim plan administrator under the law on bankruptcy. In case that such persons are a juristic person, it shall include relevant directors and executives of such juristic person
operation during three consecutive years prior to the year of filing the application; (c) any step taken by the securities company to rectify financial condition or result of operation as approved by the
Foundation of the SEC About Us SHARE : Detail Content The Foundation of the SEC The capital market has always been a major venue for fund mobilization of business sectors. Yet, prior to the SEC
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
years; (4) The agreement contains a statement that customs have the right to terminate the agreement for management of a private fund within five business days without giving prior notice to the private