management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
consideration of a fee or other remuneration excluding the giving of advice to the public in the manner as specified in the notification of the SEC. "securities underwriting" means the underwriting of all or part
. "securities underwriting" means the underwriting of all or part of the securities from a company or owner of securities for sale to the public in consideration of a fee or other remuneration whether with or
under this Act. SECTION 7. All regulations, rules, notifications, directives or stipulations issued under this Act by the SEC, the Capital Market Supervisory Board or the SEC Office which are of general
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
in a governmental agency, the SEC Office, the Stock Exchange, the over-the-counter center or the Derivatives Exchange, who is in the position or the condition that can access inside information through
B.E. 2535 as amended by this Act has been completed. SECTION 42 All rules, regulations, notifications, or orders of the SEC, the Capital Market Supervisory Board, the SEC Office or the Stock Exchange of
fund manager shall prepare an account segregating all fund assets by recording incomes and expenses according to the types of funds, as follows: (1) in case of pooled fund, the incomes and expenses of
to the general public stipulating the period for consideration and making of order with respect to the issuance of license and granting of approval under this Act. SECTION 6 All rules, regulations