Securities and Exchange Commission concerning Verification of Foreign Collective Investment Scheme and Announcement of Qualifying Scheme. Clause 6 In providing service of selling, repurchasing and redeeming
hours of the securities company. (2) publicize or disseminate the information on the implementation under (1) to the client; (3) disclose the redemption price to the client; (4) examine and supervise the
able to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall
for amending trading transactions of clients in writing and shall supervise the amendment of transactions not to violate or fail to comply with the procedures and methods set out. Clause 25 A securities
, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able to efficiently supervise the conduct of its agent, the SEC Office may
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
authority, duty and responsibility to supervise principally the operation 4 of the REIT manager and other assigned person (if any) to conduct their functions in accordance with the trust instrument and the