: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of
Management of Mutual Funds (No. 3), dated 1 November 1999, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Management company
ผ่านระบบ OFAR และ Validation Message Sheet "EQ & Others Feature" Equity & Others Feature Header No. Field name Description Format Not null Possible value Remark 1 Company Code รหัสบรษัิทจัดการในระบบ
having no short-term issue rating or in case of depositing or investing in certificate of deposit under Paragraph 1(1) (a) 1. of clause 18, the securities company shall use rating of issuer of certificate
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets, whether for the purpose of keeping, purchasing, selling, borrowing or
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A