approved by the Office must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without
with investors, subject to approval of the Office, to sell investment units or to solicit customers or to prepare investment plans for customers. Any person so approved by the Office must possess
broker does not possess mentioned information or documentation above within three years from the date this notification become effective. As added by the SEC Office Notification No. Kor Thor 13/2549 Re
customers who Derivatives broker does not possess mentioned information or documentation above within three years from the date this notification become effective. 18As amended by the SEC Office Notification
customers who Derivatives broker does not possess mentioned information or documentation above within three years from the date this notification become effective. 18As amended by the SEC Office Notification
specify the opinion of the board of directors stating that the investors under Clause 7(1) have related businesses that will benefit the listed company, or possess knowledge or experience that will benefit
Capital Market 6 ______________________ Clause 15 The auditor in the capital market shall not possess any prohibited characteristics as follows: (1) being put under receivership by the court’s order; or
• Require less monitoring from investors Active management • Possess selection & market timing abilities • Use various strategies to seek alpha An excerpt from sale kits of a trigger fund. [Expectations
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchan...
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchan...