regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating
responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to comply with the law, related Notifications and
regulations: Clause 1 The following Notifications shall be repealed: (1) Notification of the Securities and Exchange Commission No. KorThor. 37/2540 Re: Maintenance of Net Capital dated 15 October 1997 ; (2
as prescribed by relevant Notifications of Capital Market Supervisory Board. Clause 14 For the arranging and keeping information, document or evidentiary documentation, an intermediary shall operate
mutual fund, the liquidator shall deliver a copy of such document to the management company and the fund supervisor, and also deliver the mutual fund accounts and all related documents to the management
in the Notification of the Securities and Exchange Commission governing determination of definitions in notifications relating to issuance and offer for sale of securities; (2) “related person” means a
(2003) , the SEC hereby issues this Notification with details as follows: Clause 1 The following notifications shall be repealed: (1) Notification of the Securities and Exchange Commission No. Kor Thor
notifications and shall also have the detail of the mutual fund scheme that is unambiguous and easy to understand so that the investors can make decision in investing in the fund which is suitable for their
Exchange Act B.E. 2535 (1992) or the Derivatives Act B.E. 2546 (2003), and the Notifications issued by virtue of such laws regarding management in the manner of deceit, fraud, dishonesty relating to offence
Businesses . In order to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market