Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories: Category A investor contact referring to investor
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
Capital Market Supervisory Board relating to the issuance and offering for sale of securities and relating to the acquisition of securities for business takeovers require that the rendering of advice
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver 2 the mutual fund’s accounts and related documents to the liquidator
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver 2 the mutual fund’s accounts and related documents to the liquidator
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 Supervisor
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 Supervisor
No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By virtue of Section 3 and