Securities and Exchange Commission Governing Rules, Conditions and Procedures for Appointment and Conduct of Fund Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
: Rules, Conditions and Procedures for the Approval of Mutual Fund Managers dated 31 July 2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a
aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
Mr. Komen Niyomvanich In 2022, Mr. Komen Niyomvanich colluded with Miss Monsicha Ounpipat in a manner that is likely to cause a disadvantage to the mutual fund. Mr. Komen, a fund manager, possessed
e-service Online Submission Executives/Major Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Type Title Section See document Status Notified Date Effective Date 1
offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory