PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
specified in a trust instrument, including any property, interest, debt and liability arising from management of a trust in compliance with a trust instrument or this Act. This English translation of the
. “trust property” means any property as specified in a trust instrument, including any property, interest, debt and liability arising from management of a trust in compliance with a trust instrument or this
and a trustee are the same person. “trust property” means any property as specified in a trust instrument, including any property, interest, debt and liability arising from management of a trust in
institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities and Exchange Act, then a license from the SEC is
than one year; (5) being an officer or an employee of the Office; (6) being a manager or a person with power of management of the operation of securities business, the Securities Exchange, over-the
15 The following provision shall be added as Section 124/1 of the Securities and Exchange Act B.E. 2535: “SECTION 124/1 For the management of a mutual fund, a securities company shall proceed with
. 2535, as amended by the Securities and Exchange Act (No. 4) B.E. 2551, shall be repealed and replaced with the following provisions: “SECTION 59 A director, manager, person who holds management position
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management