• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
/advertising information / services provided by the company, for instance: Solicitation to buy stocks/derivatives/mutual fund Portfolio information Email, address, telephone number, a certified copy of Thai
Foreign Auditor (General case) Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) No. SEC.KorSor.(Wor) 48/2563 Subject Promotion
resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
promotion and development ; the Capital Market Supervisory Board issuing rules and regulations; and the SEC Office executing the supervisory policy to ensure compliance with and enforcement of the rules and
statements. Samples of matters beyond the SEC responsibility ● Matters under supervision of other laws, for instance, Ponzi scheme, poor services or poor product quality, advertising blockage on sidewalks
Board Our Structure SHARE : Detail Content SEC Board The SEC Board oversees the overall capital market and formulates policies for promotion and development under the Securities and
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply