, control, and supervision of policies of an applicant; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning, investment or capital
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification
Notification of the Capital Market Supervisory Board No. TorThor. 7/2557 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of Foreign Collective Investment Scheme
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an
managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an approved person is in
services in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by