and Exchange Act (No. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “mutual fund” means a closed-ended fund and an open-ended fund; (2) “closed-ended
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
Mutual Fund Managers _____________ By virtue of the second paragraph of Clause 40 and Clause 41 of the Notification of the Securities and Exchange Commission No. KorNor. 46/2541 Re: Rules, Conditions and
/2544 Re: Qualifications of Mutual Fund Supervisors _____________ By virtue of Section 121 of the Securities and Exchange Act B.E. 2535 (1992), the Office of the Securities and Exchange Commission hereby
may Create Conflict of Interest on Private Fund Management dated 24 August 2001. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Special mutual fund” means any mutual fund
Determination of Definitions of Institutional Investor, Ultra-High Net Worth Investor and High Net Worth Investor . “ fund ” means a mutual fund, private fund or provident fund unless otherwise specified herein
and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14, the conditions specified in Clause 15 are
regulatory association approved by the Securities and Exchange Commission; “Mutual fund” means any mutual fund established under the laws governing securities and exchange; “Marketing agent of fund manager
, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013; “ fund ” means any mutual fund and private fund
. ------------------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund