shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
shall administer and manage a fund with responsibility, due care and loyalty for the interest of the unitholders including acting in compliance with the law, the fund project, the commitment between the
shall have the qualification and shall not have prohibited characteristics under Section 24 of the Derivatives Act B.E. 2546 (2003) and the Notification of the Capital Market Supervisory Board concerning
undertaking derivatives business shall have the qualification and shall not have prohibited characteristics under Section 24 of the Derivatives Act B.E. 2546 (2003) and the Notification of the Capital Market
effectively with Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the
Minister in charge of the enforcement of this Act. SECTION 4/1.( The SEC shall have the power to determine the undertaking of business in any manner is not a securities business under this Act. SECTION 5.4
publication in the Government Gazette. SECTION 8 . The Minister of Finance shall be in charge of this Act and shall have the power to issue notifications and appoint competent officials to perform duties under
; (f) units of foreign collective investment scheme issuing or offering for sale in foreign countries which have similar characteristics or conditions to capital market products under (a) (b) (c) (d) or
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited
a juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and