subscribers within a reasonable period. Clause 5. Regarding the registration of a pool of assets as a mutual fund, the management company must provide details of the results of the offering of investment units
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
opinions on by the auditor of the mutual fund and certified by the management company, within fifteen business days as from the dissolution date of the mutual fund; Where it is necessary and reasonable, the
. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
she neglects or has neglected reasonable examination in order for preventing the juristic person or business which he or she has power of management or the operator under his or her supervision (if any
not making reasonable sell of the assets of open-end fund or in case of necessity to maintain the best benefit of unitholders. Management company shall sell assets or terminate the contract, which is a
person specified under Clause 3(1), in which case the consideration of the paid-up capital shall be in accordance with Clause 5; (2) having no reasonable ground to believe that its financial condition may
Procedures for the1 Establishment and Management of Mutual Funds dated 16 December 1998 and Section 109 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 1(3) of the Notification of the Securities
of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences of fraudulent or dishonest management relating to