PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
company including (1) public organization; (2) provincial administration organization, municipality, Bangkok Metropolitan, Pattaya City and any other local government organizations specified by law as
organization; (2) provincial administration organization, municipality, Bangkok Metropolitan Administration, Pattaya City and any other local government organizations specified by law as special local government
administration organization, municipality, Bangkok Metropolitan Administration, Pattaya City and any other local government organizations specified by law as special local government organization; (3) unit or
; (2) The trust manager. After an application for an offering for sale of newly issued securities has been filed, but not yet approved, the persons under (1) and (2) shall have the same duty and
, wages and other remunerations of the staffs and employees of the Fund including the general administration and human resources management; ( c) financial management and administration, purchasing
institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities and Exchange Act, then a license from the SEC is
institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities and Exchange Act, then a license from the SEC is
expenses in the accounts of the employees of the same employer: (a) surcharges paid into the fund by the employer; (b) the employer’s contribution and its interest which are not entitled upon the employees
removal of the fund manager. Section 12 ter.2 The Registrar shall prepare a report on the supervision of the management of the funds and submit the same to the Minister at least twice a year. For the