or relevant laws e.g.: (a) Rules and regulations concerning undertaking of securities businesses or compliance with the law governing securities and exchange such as the rules on the undertaking of
scope of rules and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management
manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules and regulations
and regulations which would serve as standards for derivatives fund management must be set out for the supervision of the derivatives business in the category of derivatives fund management to make the
attended a refresher course relating to securities and exchange laws, applicable rules and regulations and ethics and professional standards within the past two years prior to the application date. In this
have the following qualifications, except the case as prescribed in Clause 8: (1) having passed a course relating to securities and exchange laws, applicable rules and regulations and ethics and
Derivatives Act B.E. 2546 (2003) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ securities ” means the securities by definition given under
Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “securities” means the securities by definition given under the
According to the regulations established by the SEC for Thai mutual funds wishing to invest in foreign mutual funds, there is a specific requirement that such foreign mutual funds must be