. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of

Securities Business in the Category of Mutual Fund Management _____________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) and Section 96 of the Securities and Exchange Act B.E

Management of Funds dated 1 June 2004, the Office of the Securities and Exchange Commission hereby issue the following regulation: Clause 1. This Notification shall only apply to the following funds which have

. In the management of funds, the Office, upon the approval from the SEC, shall have the authority to issue notification specifying rules, conditions and procedures for management companies to comply so

Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business, including

securities or investment units, mutual fund management and private fund management. “Office” means the Office of the Securities and Exchange Commission. Clause 2. The securities company shall prepare and

Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of

. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private Fund Management Company

ใบอนุญาตกองทุนรวมและกองทุนส่วนบุคคล ให้ส่งแฟ้มข้อความ AMC03.TXT ผ่านระบบ Investment Management Reporting System (IMRS) ส่วนบริษัทหลักทรัพย์จัดการกองทุนที่ได้รับใบอนุญาตกองทุนส่วนบุคคลเท่านั้น ให้ส่ง

Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange