competition and innovation and technology advancement. The 2015 plan comprises six strategic moves: (1) attaining high regulatory standards on par with internationally accepted standards; (2) enhancing
fund supervisor, the operation may be reject or suspense but not longer than one business day: (2.1) The assets or securities of the open-end fund cannot be reasonably disposed of, distributed or
fund supervisor, the operation may be reject or suspense but not longer than one business day: (2.1) The assets or securities of the open-end fund cannot be reasonably disposed of, distributed or
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
Mutual Fund 20. Relaxation of rules A mutual fund management company may request the SEC's for relaxation of the following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund
4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an approval by the SEC.in which must not has significant impact to the mutual fund
Mutual Fund 20. Relaxation of rules A mutual fund management company may request the SEC's for relaxation of the following rules: (1) Changing of a mutual fund supervisor, in the case that the mutual fund
regulated person who is disqualified or fails to comply with professional conducts and standards. Such regulated person are as follows: - Financial Advisor and its supervisor - Auditor - Valuation Company and
and fund supervisor as well as investment requirements. The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the