deception, frauds or corruption during the period as prescribed by the Office and no more than three years prior to the date the branch office starts its operation; (3) the management company is not being
management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and
registration date of the mutual fund , or in case of the preparation of the financial statements for the final accounting period of a mutual fund , the mutual fund management company may prepare the financial
announcement of NAV Objective The management company shall calculate the assets value by using a fair value and specify the period for announcement of the assets value for the client to acknowledge the changes
of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control system by other agencies (if any) 5 5
, which demonstrates the period of time and the reason for investment of the intermediary in the category of mutual fund management and the subsidiary companies, shall be prepared and submitted in
period of time or conditions for considering such person’s application for an approval to act as a mutual fund manager of the management company, taking into account the severity of behaviors of such
Clause 20 of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for Establishment and Management of Funds dated 20 July 2009, the Office of the Securities and
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
Shareholders’ Meeting by the Management Company and Information Disclosure _____________ By virtue of Section 123 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 2(1), Clause 8, Clause 10, Clause