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Laws / Regulations

Laws / Re​​gulations

Regulatory Summary

Regulated Entities

Licensing/Registration

 Mutual Fund Management​ 
   
 Licensing

   Activate License

    Revocation of License

​    Business Office

   ​ Paid up Capital of asset management ​​company

 Private Fund Management​

    Licensing​

    Activate License 

   ○ Revocation of License

    Business Office​​

   ○ Paid up Capital of private fund management company

 Derivatives Fund Management​​

    Licensing

    Activate License

Rules and Regulation

 Mutual Fund Management​

    Advertising

    Procedure for Incorrect Pricing

    Procedure for the default by Issuer

    Transaction with Connected Person

    Liquidation​

    NAV Calculation​

    Merger

    Notifications of the Association of investment Management Companies

    Others

 Private Fund Management​

    Execution of Agreements for Management and Management of Private Fund

    Investment Powers and Restrictions

    NAV calculation​

    Advertising

    Disclosure

    Reporting

    Private Fund Selling Representative

   Other

    Notifications of Investment Management Companies

 Derivat​ives Fund​ Management​​​

Approved Personnel

Major Shareholders

 SEC Act.

Derivatives Act

Executives

 SEC Act.

• Derivatives​ Act.

Fund Manager

 SEC Act.

• Derivatives​ Act.

Property Fund Managers

Fund Supervisors

Custodians

Fund Rating Agency

Auditor​

Property Valuer

ผู้แนะนำการลงทุน​
Last updated on 01 October 2013
The Securities and Exchange Commission, Thailand
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