principles or international standards. 3.2 Presribes by the Association of Asset Management Companies (AIMC) prescribes with the approval by the SEC. ( Notification of the Association of Investment Management
> Secondary Market and Related Entities > Association related to Securities Business Regulations SHARE : Detail Content Related Associations The securities companies may jointly establish a non-profit
○ Licensing ○ Revocation of License ○ Business Office ○ Paid up Capital of asset management company • Private Fund Management ○ Licensing ○ Business Office Rules and Regulation
Secondary Market/Securities Registrar Association related to Securities Business Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business Operators Registered
investment units 13. Conversion of a Closed-End to an Open-End fund 14. Amalgamation and merger of mutual fund 15. Procedures in a case of defaults of debt instrument issuers 16. Exercise of voting rights
โดยปัจจุบันมีสมาคมเกี่ยวเนื่องกับธุรกิจหลักทรัพย์ 3 แห่ง ได้แก่ สมาคมตลาดตราสารหนี้ไทย (Thai Bond Market Association) สมาคมบริษัทหลักทรัพย์ไทย (Association of Thai Securities Companies) สมาคมบริษัท
such information was incomplete, contrary to facts, insufficient for making an investment decision, or misled investors in a manner of concealing or disguise or making up non-existing facts. 6. No