) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
, repealing the requirement to have the fund supervisor approve a property insurance agreement, extending the income guarantee clause to cover an event of capital increase filing, and repealing the
and fund supervisor as well as investment requirements. The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the
and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14, the conditions specified in Clause 15 are
company shall act in the interests of the fund and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14
management of the Office. (6) Prescription of rules and practices for recording the rationale to demonstrate that the investment decision of the fund manager has been done appropriately and effectively e.g
to 227.9 mil. baht. - Total expenses increased 9% or 20.1 mil. baht to 244.4 mil. baht due to the following: 1) The Company had just detected a fraudulent practice of our credit supervisor and need to
. Any custodian who has been registered as a person qualified to be a mutual fund supervisor and has been approved by the Office for custodian agent appointing system for a mutual fund, such custodian