can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
Board's Notification No. Tor Lor Thor 8/2557 Re Rules on Personnel in the Capital Market Business. Qualifications of each type of fund manager and market analyst can be found below; Types of Fund
the public, as the case may be Must comply with criteria for protection of shareholders (notice calling letter, resolution of the shareholders' meeting, right to veto) Definition of a market price can
trust can sell units to high net-worth investors or general investors (in case of selling to retail investors, listing of the units in the Stock Exchange is required to enhance the liquidity). In case
– in case of a listed company Criteria for approval: can be divided into four cases, depending on the nature of share price indication based on the resolution of the shareholders' meeting. 1 st case
personnel the wealth advisory function. Steps of Applying for approval Notes 1. Filing forms for pre-approval can be requested and submitted at tanyanan@sec.or.th / pornpong@sec.or.th 2
can demonstrate that it can perform such duties; The structure of board of directors have sufficient checks and balances; Directors/ executives/ controlling persons must not have untrustworthy