instruments or evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9

appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system

mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9) certificates representing the rights to purchase investment

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties