and ending dates in performing the duties, and a list of fund managers. (3) Organization of knowledge enhancement or training sessions for fund managers and related officers. (4) Calculation and
responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund management company shall organize knowledge enhancement or training sessions for their fund managers and
: Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing
insurance company licensed under law on commercial banking or law on life insurance, as the case may be, such applicant shall- (1) be able to maintain capital funds and set aside reserve capital in accordance
making an investment decision, or misled investors in a manner of concealing or disguise or making up non-existing facts. 6. Being licensed or registered as the derivative dealers pursuant to the
independence from the profession in the same way as specified by IOSCO. To support competitiveness of Thai listed companies and improvement of financial statements to conform to the international standards, the
of private fund management is a legal entity under Clause 2(1) to (5), but not a branch of foreign commercial bank or a foreign life insurance company licensed under law on commercial banking or law on
administrative orders on individuals or juristic persons under the SEC's supervision, in other words, persons licensed, approved, or registered in accordance with the laws administered by the SEC. For example