Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification; “derivatives business operator” means any company licensed to undertake derivatives business in the
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
/2012 8. Notification of the Office of the Securities and Exchange Commission SorNor. 1/2548 Rules for the Exercise of Funds Voting Rights at the Shareholders Meeting by the Management Company and
following Notifications shall be repealed: (1) The Notification of the Capital Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re: Requirements for Securities Company to Take Action concerning
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules