: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
/2549 18/01/2006 16/02/2006 3. Notification of the Securities and Exchange Commission KorNor. 30/2547 Rules, Conditions and Procedures for Establishment and Management of Funds (codified as of 21/01
and Procedures for Dealing of Debt Securities (codified as of 25/10/2006) (Synopsis) 26/09/2000 3. Notification of Capital Market Supervisory Board 5/2556 15/02/2013 01/04/2013 4. Notification of
Board TorThor. 7/2557 Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of Foreign Collective Investment Scheme 02/06/2014 01/07/2014 3. Notification of Capital Market
. Notification of the Securities and Exchange Commission 52/2545 05/11/2002 16/11/2002 4. Notification of the Securities and Exchange Commission KorThor. 42/2543 Re: Rules, Conditions and Procedures for
. Notification of the Securities and Exchange Commission KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments (Codified as of 25/10
Capital Market Supervisory Board TorThor. 41/2555 Rules, Conditions and Procedures for Trading of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth Investor 17/08/2012 01
Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018 requires that the outsourcing of function related to business operation to a third party shall obtain a
) Procedures for incorrect pricing Sale and repurchase of investment units Preparation of mutual fund reports Scheme https://www.sec.or.th/EN/Pages/LawandRegulations/Preparationoffinancialstatements.aspx English