, in Thailand in case of the cessation of its fund offerings to the public in Thailand in accordance with the requirements set out in Appendix B-II-SEC Circular of the MoU. Yes No If “No”, please specify
The Office of the Securities and Exchange Commission (Unofficial Translation) PAGE The Office of the Securities and Exchange Commission 12 June 2007 To: Managers All securities companies Circular No
respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the
money for debt repayment has been set aside, the liquidator shall distribute, proportionally to the unitholders’ holding, the remaining money to the unitholders whose names appear on the register of
. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2) in case the
that such person obtains approval as category A investor contact according to the qualification set forth in (2) of the second paragraph of Clause 4 and the approval period shall be equal to the
markets shall meet the following rules: (1) comply with rules set forth in Clause 7(1), or (2) if not passing the examination on course specified in Clause 7(1), having attended a full course relating to
units of the new mutual fund or the mutual fund which accepts the transfer of assets. Clause 3. All notifications of the Office of the Securities and Exchange Commission, orders and circular letters