the association office, and furnish a copy of the register to the SEC. With an admission of new members or any changes to the membership register, the associations shall notify the SEC within the
investors; 5) Mergers or amalgamation of mutual fund; 6) Acceptance of debt repayment in the form of securities or other assets by funds. Authority of the SEC Fund managers Mutual fund performance measurement
business, not having records of contravening or failing to comply with the criteria for offering securities in substantive matters. 1.3 Having obtained a clear resolution on approval for the capital
Acceptance and Continuance of Client Relationships and Specific Engagements Engagement Performance Resources Information and Communicatio n Monitoring and Remediation Proces Regulatory Summary of
investment units or suspends acceptance of purchase or redemption orders. (4) Preparation and submission of a report for an accounting period. (5) Announcement of dividend payment such as in the case of
: Clause 1 Any securities company obtained some but not all of the securities business licenses in the category of securities brokerage, securities underwriting and securities dealing, may file an
Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 Any securities company obtained some but not all of the securities business licenses in
arrangement after having obtained special resolution of the unitholders. (3) If the mutual fund management company is unable to obtain specialresolution of the unitholders for an arrangement with a new