Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
) กรณีที่กองทุนรวมบันทึกมูลค่าตราสารหนี้เป็น “0" หรือกรณีที่ผู้ออกตราสาร หนี้มี potential default ให้ผู้ถือหน่วยลงทุนทุกรายที่มีชื่ออยู่ในทะเบียน ณ วันที่ บลจ. ได้บันทึกมูลค่าตราสารหนี้เป็น “0" หรือวันที่
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality of financial report to ensure that public disclosure of financial report is accurate, transparent
, 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
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
, 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
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2 functions). Applying for Approval and Reporting Guidelines No prior approval or
transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage conflict of interests. The company must not be dependent on the business of a person who may have a conflict of