the SEC Office. Clause 4 2 Subject to Clause 5 and Clause 6, person eligible to obtain the SEC Office’s approval to be major shareholder of securities company shall not have the following
, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain qualifications, has a prohibited characteristic, performs duties defectively, or fails to
shall not be inferior to the previous one, except in any of the following cases: (1.1) The mutual fund management company appoints a new guarantor by obtain special resolution of the unitholders ; (1.2
shall not be inferior to the previous one, except in any of the following cases: (1.1) The mutual fund management company appoints a new guarantor by obtain special resolution of the unitholders ; (1.2
compensations for damages incurred to investors in all cases. Other regulated regulators in the public and private sectors. Creating collaboration among all agencies in terms of concerted efforts to achieve the
Disclosure of Information in Invitation Letters to Shareholders' Meeting of Listed Companies to Obtain Approval for Issuance and Offer of Securities for Sale as Prescribed (Notification No. Tor Jor 73/2558
Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing / Registration • Brokerage о Securities Brokerage о
website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC electronically by email to esg-sec@sec.or.th of
website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC electronically by email to esg-sec@sec.or.th of
passed by the unitholders (1) In case of amalgamation/merger of the mutual fund with the same investment policy and level of risk spectrum, must obtain majority resolution by unitholders of each fund