marketing representative of private fund, a private fund management company shall appoint a person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market
on Private Fund Management dated 31 July 2000; (4) Notification of the Office of the Securities and Exchange Commission No. SorNor. 49/2543 Re: Rules on Protection of Conflict of Interest on Investment
: Acts that may Create Conflict of Interest on Private Fund Management dated 31 July 2000; (4) Notification of the Office of the Securities and Exchange Commission No. SorNor. 49/2543 Re: Rules on
Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019
private funds, or investment advisors, which are fully qualified and ready to provide services, may apply for SEC’s approval to become the wealth advisor. There are currently over 40 operators interested
parallel:(1) At domestic level, joining with relevant public and private sectors to recognize financial literacy as national agenda covering a wide range of population from those who are children, youngster
Bangkok, February 3, 2014 ? The SEC in cooperation with alliance from both public and private sectors launched ?Pride of the Provinces III? to gear up provincial businesses? fund raising and capital
-corruption practices and thus encourage them to participate in creating anti-corruption culture and become a role model for Thai private sector.In addition, the SEC and Thai Institute of Directors (IOD) will
Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds