และจัดการกองทุนรวมที่เกี่ยวข้องกับบุคคลซึ่งมีความสัมพันธ์กับบริษัทหลักทรัพย์จัดการกองทุนรวม (affiliated persons)ด้วยปัจจุบันมี
") control system which is the persons not appointed from Finnomena or obtained an approval from SEC Office performed IC’s duty. SEC Act S.113 Settlement Committee Meeting No. 6/2023 Settlement
asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management
://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 63/2023 Dated 21/06/2023 ") control system which is the persons not appointed from Finnomena or obtained an approval from SEC Office performed
business is under control of the persons under (1) (2) (3) or (4). Trading / disclosure while possessing inside information Presumtion on persons, who trade securities or enter into a derivatives
; (4) “Connected persons” means any of the followings: (a) Executives of the business; (b) Major shareholders of the business; (c) Persons with power of control over the business; (d) Persons with
persons established under specific laws for the purpose of business undertaking; (10)3 “parent company” means company having any of the following characteristics: (a) company which has control over
) or person under (1) to (3) having authority to control the other persons as specified by the notification of the Office. Part 3 Soft Commissions Clause 21. Management company may obtain the soft
property; 4. Person having authority to control person under (1) to (3) or person under (1) to (3) having authority to control the other persons as specified by the notification of the Office. Part 3 Soft