and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment
been proposed to the committee under the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel in the Capital Market Business
the capital market business under this Notification. Clause 44 Where any case has been proposed to the committee under the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange A...
a clear method for calculating fee e.g. fulcrum fee or escalating fee (Appendix Kor) 3. Having a guideline for disclosure of information in the mutual fund scheme to enable the clients or the
necessary cause and appropriate which should be fair to the unitholders/provident fund members. 2.3 Prescribing a clear method for calculating fee e.g. fulcrum fee or escalating fee (Appendix Kor) 3. Having a
been prescribed and notified by the SEC Office, management companies shall comply with the Notification of the Office of the Securities and Exchange Commission No. Sor. Khor/Nor. 23/2552 Re: Rules