Investment Unit Holding in Mutual Funds and Duties of Management Companies. In the case that the SEC Office issues an order to revoke the approval for the establishmet and management of a mutual fund under

any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the offering of securities services, the securities operation or research on securities

any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the offering of securities services, the securities operation or research on securities

executive director including deputy manager, assistant manager, department director and any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the

ไม่เกิน 1 ปี (short term holding) นับแต่วันลงทุน และต้องมีการกระจายความเสี่ยงที่เหมาะสม กองทุนดังกล่าวจึงไม่สามารถจัดตั้งในรูป specific fund ได้ และต้องมีการดำรงสภาพคล่องเป็นไปตามเกณฑ์ที่สำนักงานกำหนด

In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of

a part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office

part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has

institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that

Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial institutions holding securities business licenses, which are under direct supervision