comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund manager on the renewal application date
following qualifications: (1) Being executive of a securities company. This shall be limited to only one person for each securities company; or (2) Being mutual fund manager or private fund manager. Clause 6
following regulations: Clause 1 This Notification shall come into force as from 1 April 2014 unless: (1) Clause 42(8) relating to comparative results of mutual fund management’s performance shall come into
mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of
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. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a
-trading between mutual funds under the same management company, the transaction shall have the following characteristics: (a) being a transaction which is appropriate to investment policy and necessity of
or conditions prescribed in the relevant Notifications, but a certain fact leads to it being considered that the true objective or the substance of the management of such mutual fund constitutes an