Notification No. SorKhor. 25/2547 before the effective date of this notification or the person who has been registered or approved to be marketing officer under the Notification No. SorThor. 67/2543 or the
been granted an approval to act as a mutual fund manager, has any of the following characteristics, the Office may order such mutual fund manager to rectify his or her qualifications within the period of
Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by
line of work relating to capital markets if the investor contact has obtained approval through such qualifications; (2) ceases to be a person who has been approved or registered to perform duties similar
receipt of the copy of the statement of claim. If the respondent fails to inform his intention within such period of time, it shall be deemed that the respondent no longer has the intention to mediate. In
performance shall be on the same page; (b) a statement specifying that the measurement of fund performance has been prepared in accordance with performance measurement standards set out by the Association. The
of fund performance has been prepared in accordance with performance measurement standards set out by the Association. The statement shall be placed after the statement under (a) and on the same page
entering into exchanging in-kind for making delivery; (b) the client shall demonstrate that it has been an order to purchase units of foreign ETF while placing short selling order, in case of short selling
has consented. Clause 4. The advertisement relating to provision of services of derivatives fund management shall not use words or statements, that are exaggerating, false or misleading. Clause 5 . A
registered person as its fund supervisor in writing within the next business day following the date when such registered person has been notified of the proceedings or orders by the Office. Clause 9. Any