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
be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In
of Securities and 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
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause
of the increase or decrease in the number of investment units. “Scheme” means an open-end fund management scheme. “Fund supervisor” means the fund supervisor of an open-end fund. “Office” means the
provisions regarding the employees’ savings and the employer’s contribution payable to the fund; (7) the provisions regarding the rules and procedures for the computation of benefits entitled to the employees
Attachment 3 Details of the head of internal control and compliance supervisor Attachment 4 Details of the asset appraisal Part 1 1 Executive Summary Summary of the Initial Public Offering Public Limited
, appointment, dismissal and discipline for personnel and employees of the SEC Office, the determination of salary and other remuneration as well as welfare and assistance; (4/1) 4 the prescription of a guideline
delivering of assets of the fund so that the client, the custodian, the management company or the mutual fund supervisor shall receive the assets forthwith to allow continuous management of the funds