management of property funds. “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management operation, or services of brokerage, dealing or
dated 6 February 2008 shall be repealed. Clause 2. In this Notification: (1) “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management
firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a) Commercially Available? (b) Produced by an international firm of which the firm is a member? (c
declaration to act in trusteeship, a trust shall be created where a written declaration to create the trust has been made and submitted to the SEC Office by the settlor, in accordance with the rules specified
the result of the sale to the Office. In cases where an offering is made through an underwriter, the promoters of a public limited company, a company or owner of securities shall report the amount of
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
securities companies, an officer of the Bank of Thailand or of the Office, except in cases where: (a) an appointment is made with the approval from the SEC for the purpose of assisting in the operation of a
his duty, the subcommittee members present at the meeting shall elect one of them to be the chairman of the meeting. Final resolutions of the meeting shall be made by majority vote. Each subcommittee
made pursuant to the rules specified in the notification of the SEC.
paragraph shall be made in accordance with the rules as specified in the notification of the SEC.