) 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
certifying financial statements of entities whose securities are publicly traded in main board of foreign stock exchange, shall be granted the approval as foreign auditors in the capital market withoutfull
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
. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts