SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
statements. Samples of matters beyond the SEC responsibility ● Matters under supervision of other laws, for instance, Ponzi scheme, poor services or poor product quality, advertising blockage on sidewalks
franchise of 55 branches and closed some poor performance branches. Therefore there are currently 19 branches owned by the company causing lower significant revenues than the same period at the previous year
information or advice by insurance broker ● Unable to claim insurance compensation Office of the Insurance Commission (OIC) Telephone: 1186 Website: www.oic.or.th ● Poor consumer product quality Office of
, poor services or poor product quality, advertising blockage on sidewalks, poor construction quality, incorrect information provided by insurance companies / brokers, or unfair credit consideration. 2
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
financial institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] o Reviewing and modify updatable by having a risk
assessments. For example, the financial position of an audit client was concluded as normal although its liquidity was identified as poor without further explanation. (3) Risk assessment and risk response were