) Main duties of a Trust Settlor/Trust Manager Apply for approval of an offer for sale of units with the SEC Formulate strategies and operational plans of the trust Invest and seek to generate
net assets and net liabilities shall not be less than paid-up registered capital in the amount specified in Section 96 of the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from
net assets and net liabilities shall not be less than paid-up registered capital in the amount specified in Section 96 of the Securities and Exchange Act B.E. 2535; (b) net profit or not loss from
Business as Securities Business (SBL) ○ Prescription of Securities Finance Business as Securities Business (SFC) • Prescription of Conditions for Securities Company to Apply for Approval of Person to
Apply for Approval on Establishment of Limited Company or Public Limited Company to Undertake Securities Business in the Category of Mutual Fund Management and Period for Filing Application By
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Examination results of CISA Level 1 or higher, CFA Level 1 or higher, FRM or CFP may be used to apply for approval as IC-plain products / IC- complex products In case of foreign CFA, FRM or CFP courses
No. Title 2 Financial Institution Eligible to Apply for Securities Business License B.E. 2536 (amended by No. 16 No. 18) (Repealed) 3 Application for Separation of Finance and Securities
Content Management of Mutual Fund 24. Additional rules for country funds Following provisions shall not apply to country funds: (1) Calculation and announcement of the NAV, investment unit values, as well
Content Management of Mutual Fund 24. Additional rules for country funds Following provisions shall not apply to country funds: (1) Calculation and announcement of the NAV, investment unit values, as well
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Examination results of CISA Level 1 or higher, CFA Level 1 or higher, FRM or CFP may be used to apply for approval as IC-plain products / IC- complex products In case of foreign CFA, FRM or CFP courses