and Exchange Act (No. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “mutual fund” means a closed-ended fund and an open-ended fund; (2) “closed-ended
Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the Category of Derivatives Fund Manager dated 23 January 2004; (2) Notification of the Securities and Exchange Commission No
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or
following regulations: Clause 1 This Notification shall come into force as from 1 April 2014 unless: (1) Clause 42(8) relating to comparative results of mutual fund management’s performance shall come into
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
PAGE 2 ผลการรับฟังความคิดเห็นจากผู้เกี่ยวข้อง (hearing) เกี่ยวกับหลักเกณฑ์การกำหนดสัดส่วนการถือหน่วยลงทุนในกองทุนรวมเพื่อผู้ลงทุนทั่วไป (Retail fund) 1. การรับฟังความคิดเห็น จำนวน 1 ครั้ง 2. เมื่อวัน
lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment
Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the