of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a fund manager who makes decisions to invest or dispose of
institutes accepted by the Office; “Office” means the Office of the Securities and Exchange Commission. Chapter 1 Scope of the Provisions Clause 3. This Notification shall not apply to the appointment of a
) “Training Institute” means training institutes accepted by the Office; (Translation) -2- Chapter 1 Scope of the Applicability ____________________ Clause 3. This Notification shall not apply to the
the value or suitability of any trading or investment in derivatives; (6) Repealed. Chapter 1 General Provisions _____________ Clause 4 In providing the derivatives brokerage services outside
value or suitability of any trading or investment in derivatives; (6)3 Repealed. Chapter 1 General Provisions _____________ Clause 4 In providing the derivatives brokerage services outside derivatives
or receiving requisition of investment unit redemption; (2) the appointment of a marketing representative of private fund . Chapter 1 Appointment of a Representative ___________________ Division 1
of private fund. Chapter 1 Appointment of a Representative ___________________ Division 1 3 Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption
promulgates regulations as follows: Clause 1 This Notification shall apply to- (1) For the purpose of governance under Chapter 3/1 of the Securities and Exchange Act B.E. 2535, foreign ETF established under law
. EUROPEAN COMMISSION PRINCIPLES OF PUBLIC OVERSIGHT DIRECTIVE 2006/43/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL OF 17 MAY 2006 CHAPTER VIII Article 32 Principles of public oversight 1. Member States