executive's qualification on the individual's request) (Form 35-E3) Letter to Notify Untrustworthy Characteristics of Director and Executive as Prescribed in Notification No. Kor Jor 3/2560 (Form 57-E1
purchase or redemption orders; (2) Notify the unitholders and the SEC within three business days; (3) Dispose of the remaining securities or assets within five business days to obtain as much money as
the association office, and furnish a copy of the register to the SEC. With an admission of new members or any changes to the membership register, the associations shall notify the SEC within the
will notify the results within 90 days after receiving the application and a complete set of the required documents. (2) Applying for automatic approval The mutual fund management company shall submit
rate of the last 1year period from the day the company wishes to raise the rates: (1) Higher than the ceiling rate for < 5%, the company shall notify the unitholders at least 60 days in advance of the
, Thailand Tel. +66 2695 9999 or +66 2695 9587 Fax. +66 2695 9793 e-mail : oca@sec.or.th 3. Approval Process The SEC will notify the applicant within a reasonable time period whether the
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine