under Clause 2(5) as of the date when the application is filed. To be able to make any changes to the operational systems under Clause 2(4), the fund supervisor shall notify the Office in advance in
under Clause 2(5) as of the date when the application is filed. To be able to make any changes to the operational systems under Clause 2(4), the fund supervisor shall notify the Office in advance in
the management company; “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “fund supervisor” means a mutual fund
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
management company and a mutual fund under its management may be executed only when necessary and appropriate, and upon written approval of the mutual fund supervisor prior to entering into such transaction
appointed by the management company as the fund supervisor that such transaction is a trade agreement which a person of ordinary prudence would enter into in the same circumstances, and that the bargaining
least one day in advance). Business hours: Mondays - Fridays (except public holidays) from 08:30 - 15:00 hours. (lunch break) (1) Business days from Mondays to Fridays except holidays specified by the SEC