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
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
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
Office shall display the names of the supervisors who have been granted an approval in the supervisor database. 16In the case where the SEC Office declines an approval due to the supervisor’s failure to
: (1) general information of the mutual fund, at least including the fund scheme’s name, the management company’s name, the financial consultant’s name, the fund supervisor’s name, the investment unit
supervisor according to Clause 24(1) or the mutual fund supervisor’s certification of the relevant reports according to Clause 24(2); (4) when unitholders redeem investment units during a postponement of a
the management company; “management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “fund supervisor” means a mutual fund
) 3 (2) Rectify the incorrect unit value into a correct unit value by the day the fund supervisor has certified the information in the retrospective value correction report. (3) Announce name(s) of