and established under the approval of, and registration with, the SEC Office with the objective to promote and develop securities businesses in the category of investment management. Clause 2 This
Exchange of Thailand (Attachment 1) as well as to seek an approval for …/3 - 3 - entering into such transaction from the shareholders’ meeting with votes of not less than three- fourth of total number of the
SET), according to the Notification of the Capital Market Supervisory Board No. TorChor. 72/2558 (2015) Re: Approval for Listed Companies to Offer Newly Issued Shares to Specific Investors (Private
scheme which is established in an ASEAN country. In this regard, such scheme shall be [i] granted an approval from, [ii] registered with or [iii] permitted for any undertaking in a similar manner of such
of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of