Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
liquidator under the first paragraph shall be given prior approval from the Office. Expenses and remuneration arising from liquidation of any mutual fund shall be paid from the assets of that mutual fund.
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Duration of activities At least 15 hours of participation in relevant activities during the past two calendar years prior to expiration of approval term. Session hours can be accumulated throughout the
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office starts its
days prior to the appointment date; (2) report on termination of appointment of fund managers which shall be submitted within fourteen days as from the termination date. The management company shall
provided in the Office’s electronic work system: (1) report on appointment of property fund managers which shall be submitted not less than fourteen days prior to the appointment date; (2) report on
trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office
statement of claim to be delivered to the respondent. The claimant may request for the Office’s mediation of dispute prior to commencing the arbitral process, at the same time of filing the dispute. Clause 8