Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
appointed by the management company as the fund supervisor that such transaction is a trade agreement which a person of ordinary prudence would enter into in the same circumstances, and that the bargaining
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor
ratio summary of the mutual fund via Form 123-2 attached hereto; (5) Total fees, compensation and expenses collected from the mutual fund and unit holders via Form 123-2 attached hereto; (6) Warning on
อยกวา 25 ลานบาท 2. การเปลี่ยนแปลงระดับ early warning สําหรับบริษัทหลักทรัพยและกําหนดระดบั early warning สําหรับผูไดรับใบอนุญาตเปนตวัแทนซื้อขายสัญญาฯ 2.1 กรณีบริษัทหลักทรัพย แกไขระดับ early
the management company; “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “fund supervisor” means a mutual fund
units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause 2. In