dated 29 November 2000 shall be repealed. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Specified property fund https://publish.sec.or.th/nrs/4336pe.doc Readers should be
. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Specified property fund” means any mutual fund which has specified https://publish.sec.or.th/nrs/4336pe_r.pdf Microsoft Word
text has legal force and that this English trans Services Related to Mutual Fund and Private Fund Management dated 29 November 2000 shall be repealed. Clause 3. In this Notification: “Fund” means any
to perform the duties under Clause 23(1), subject to the prohibited characteristics of the personnel in the capital market business under Clauses 31(3) of the Notification of the Capital Market
own and others and thus interfered with client's assets. The actions of the two former investor contacts were in violation of Clause 14(1) and 14(2) of the SEC Notification No. SorKhor 49/2552 Re
the client made inquiry on the matter, he concealed the fact and embezzled the 1,000 baht gift voucher for himself. His acts were deemed dishonest in violation of Clause 20(1) of the Notification of
. Details of the applicant (pursuant to Clause 7 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting of Approval
benefits in compliance with the aforementioned provisions of the intermediaries, the SEC by virtue of Clause 5(1) in conjunction with Clause 12(3) of the Notification No. TorThor. 35/2556 , therefore, issues