step ensures that the measure to be taken is appropriate, practical and respectful to stakeholders’ rights 6. The proposed rule is considered by the relevant sub-committee The sub-committee members
within three business days and about action plans to be taken at the discretion of the mutual fund management company in the best interest of the unitholders. The remedial measures should be performed and
issuers will be taken into consideration along with the disclosure of financial positions and operating results in the prospectus. Credit rating agencies are considered to have the responsibility of
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
competence or taken professional course prescribed (if any). Registration with the institute of appraisal profession It shall be deemed that an appraisal company and natural person, who have been registered
limitations (the case of holding more than one-third of total outstanding units over one year) Actions to be taken to comply with the “one-third" rule: Any person shall not hold investment units exceeding
, as well as taken into consideration the potential impact on the unitholders of each class. (3) Naming a mutual fund The name of a mutual fund shall not mislead investors about features, types
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