can better diversify the investment risks, and receive professional services in monitoring and managing the investments. Establishment of Mutual Funds Cross-boder Offering of Funds Offering for Sale
Exchange Act B.E 2535 Minister The Securities and Exchange Commission Registrar The SEC Office Trade Association Associations related to securities businesses Summary of major provisions in supervising the
of Appraisal Profession under the first paragraph shall be recognized by the SEC as an appropriate organization for supervising and promoting appraisal profession as prescribed. Related Rules and
> Management of Mutual Fund > Fund managers Regulations SHARE : Detail Content Management of Mutual Fund 2. Fund managers 2.1 In managing a mutual fund, the mutual fund management company will appoint a
juristic person with the SEC Office and managing fund of the juristic person so established, in which case the juristic person's personnel may be appointed to participate in management of enterprise in which
) assumes crucial roles starting from establishing a trust, to filing an application with the SEC for approval of an offer for sale of units of the trust, and to managing the trust. Regulatory Summary
highest responsibility in Accounting and Finance (“CFO") and the person assigned to the direct responsibility of supervising accounting preparation (“Chief Accountant") are required to have an education
banned under the law on Supervision of Financial Institutions, either Thai or foreign law, provided that such prohibited characteristics are related to corruption, fraud / managing work in violation of law