information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition

unitholders and the management company and the resolution of the unitholders. Clause 6 A management company shall establish a system for the administration and the management of a fund which covers at least the

Securities and Exchange Commission No. Sor Thor. 18/2563 Re: Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2) Whereas the Cabinet has passed the resolution

date on which the claimant files the complaint, unless the claimant agrees to extend such period; or 3. the claimant is not satisfied with the compliant resolution. Clause 7. In filing the dispute to the

register the amendment to the fund’s articles within fifteen days after the date of passing of the resolution of such amendment and the amendment shall not take effect until the Registrar has effected the

Notification of the Securities and Exchange Commission No. SorThor. 4/2552 Re: Special Holiday for Securities Companies and Derivatives Business Operators _____________ With regard to the Cabinet’s resolution on

fund scheme The change and amendment to the mutual fund scheme as a result of the resolution of the unitholder should not be contrary to the laws and related rules in which the management company should

baht or three percent of the net asset value of the mutual fund, whatever lower, the mutual fund management company shall request for a resolution from the unitholders in accordance with the following

. Clause 5. The securities company or the finance and securities company shall report the name of the auditor appointed for each accounting year in accordance with the resolution of its shareholders’ meeting

resolution upon recommendation of the Minister in cases of the Chairman or by the Minister’s order upon recommendation of the SEC which has passed a resolution with at least two-thirds of all commissioners in