licensed to undertake securities business in the category of securities finance business, mutual fund management, securities brokerage, investment advisory service, securities dealing or securities
the finance companies, credit foncier, mutual funds, derivatives business operators under the law on derivatives trading and futures business operators under the law on agricultural futures trading; (b
/2544 Re: Qualifications of Mutual Fund Supervisors _____________ By virtue of Section 121 of the Securities and Exchange Act B.E. 2535 (1992), the Office of the Securities and Exchange Commission hereby
finance companies; (3) repaying debts on behalf of the mutual fund and paying fees, charges, compensation, including any other expenses incurred from the liquidation; (4) distributing to the unitholders
Securities Business in the Category of Mutual Fund Management _____________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) and Section 96 of the Securities and Exchange Act B.E
Mutual Fund Managers _____________ By virtue of the second paragraph of Clause 40 and Clause 41 of the Notification of the Securities and Exchange Commission No. KorNor. 46/2541 Re: Rules, Conditions and
of Derivative Services by Securities Companies. Division 2 Additional Rules for Securities Intermediaries in the Category of Mutual Fund Management or Private Fund Management _______________________
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
. ------------------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best