management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to
, the maintenance of net capital complies with the rules as stipulated in the Notification of the Securities and Exchange Commission, as the case may be; (b) In case of mutual fund management company or
securities or investment units, mutual fund management and private fund management. “Office” means the Office of the Securities and Exchange Commission. Clause 2. The securities company shall prepare and
Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The
Management Companies; Chairman, Securities Analysts Association; Chairman, the Thai Life Assurance Association; Secretary General, the Thai Bankers’ Association; and Secretary General, the Foreign Banks
material to maintain its professional status, or in any aspects which would affect the overall creditworthiness as professional. Clause 3 . In soliciting investors to enter into a derivatives fund management
having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work experience relating to buying or
than 100 million Baht; (2) not having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private