จัดสอบโดย Association for Investment Management and Research (AIMR) หรือ (3) หลักสูตรอื่นใดที่เทียบเท่าตามที่สมาคมกำหนด ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันถัดจากวันประกาศในราชกิจจานุเบกษา เป็นต้นไป
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
) “prospectus” means a prospectus which is identical to a draft prospectus filed with the SEC Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing
. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September
company” means any company licensed to undertake securities business; (2) “Executive” means director, manager or person with power of management; (3) “Person with power of management” means executive
, research on securities or capital market or other similar lines of work regardless whether such line of work would operate for providing services for other persons or for the management company itself. (c.4
director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also
) securities underwriting business; (5) mutual fund management business; (6) private fund management business; (7) securities borrowing and lending business. Clause 4 In the case where a person having the
Procedures for the1 Establishment and Management of Mutual Funds dated 16 December 1998 and Section 109 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 1(3) of the Notification of the Securities
regulatory sandbox : (1) derivatives brokerage business; (2) derivatives dealing business; (3) derivatives advisory service business; (4) derivatives fund management business. Clause 3 In the case where a