proceeds thereform to invest in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or procure for profit by other means.” * Readers should be aware that
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
the Office of the approval granted for such custodian. SECTION 138. All assets of the person authorizing the management of the private fund shall be in the name of the person authorizing such management
, for profit and has been licensed or registered under this Act, excluding those derivatives fund managers with the characteristics as specified in the notification of the SEC. “derivatives exchange
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
BUSINESSES B.E. 2561 (2018) Linklaters (Thailand) Ltd 20th Floor Capital Tower All Seasons Place 87/1 Wireless Road Bangkok 10330 https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/RoyalEnactment
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