ธุรกิจอาจเข้าข่ายละเลยการตรวจสอบดูแลกรณีดังกล่าว (fail to supervise) จึงเรียนมาเพื่อโปรดทราบและดำเนินการต่อไปขอแสดงความนับถือ(นายรพี สุจริตกุล)

investment scheme. “home regulator” means a regulator who has the authority to supervise collective investment schemes or CIS operators. “securities company” means a securities company that obtains the

required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2 functions).         Applying for Approval and Reporting Guidelines   No prior approval or

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and in which the person under (6) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual fund obtains benefits

person under (6) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual fund obtains benefits in such a manner that

amount not exceeding fifty percent of the total outstanding investment units and in which the person under (6) makes interference with the subscription or allotment of securities of the securities company

fifty percent of the total outstanding investment units and in which the person under (1) makes interference with the subscription or allotment of securities of the securities company which manages such

outstanding investment units and in which the person under (1) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual

securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive