the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of
provision which may in any manner give rise to a conflict of interest between customers and the management company as well as related persons as specified in the notification of the Office shall be subject to
of their participation in knowledge development activities to be kept for at least two years from the year in which the renewal is granted; 5.2 The organizer – the evidence of organizing the training
terminated due to the unsuccessfulness of the mediation, as the case may be. If the claimant fails to notify the list of his selected arbitrators within such period of time, it shall be deemed that the
reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of The Office of the Securities
two years. If any person, who has been granted an approval by the Office to act as a mutual fund manager but no longer performs such duty for any management company, wishes to maintain the status of an
Exchange Commission. Clause 3. The following securities companies shall pay fees to the Office at the rate of one percent per annum on their income, but not less than Baht two hundred thousand and not
in derivatives by using its ability to fully protect and maintain the best interest of the customer on the basis of integrity, prudence and due care. Clause 7. In case the derivatives fund manager will
such registration shall submit the application to the Office as per form 121-1, as attached to this Notification, and related documents together with two sets of copies of the application and related
reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange