Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
making of investors significantly or ensures equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty and responsibility to disclose accurate and
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
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other
Commission No. SorNor. 31/2554 Re: Rules, Conditions and Procedures for Appointment and Performance of Duty of Infrastructure Fund Manager By virtue of the provision in Clause 5, Clause 7 and Clause 82(1) and
) application for approval of personnel whose name is listed in the registration for personnel who possesses qualification to perform the duty of fund manager under the Notification of the Office of the
rules and conditions as prescribed in Division 4 of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of