underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities company” means: (a) Management company; (b) Securities company performing the duties
, services or the operation of fund management, or service of brokerage, dealing or underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities
Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019
and Non-Retail Investors and Contract on Offering of Private Fund Management Service (No. 14): https://publish.sec.or.th/nrs/10024p_r.pdf (2) Notification
auditor’s reports on PVDs CMSB has approved an exemption for preparing and submitting financial statements and the auditor’s reports on PVDs by giving private fund management companies two options, namely
, revising the conditions for obtaining a license to allow applicants to choose whether to engage in mutual fund or private fund management, thus avoiding the burden of setting up systems for services they do
on suspicious unlicensed activities indicating that the aforesaid operators engaged in the business of managing funds for others or holding themselves out as derivatives fund manager and private fund
securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qg-corp.com. The said actions were subject to an imprisonment from 2
and private fund management fees for funds managed by ONE Asset Management Limited (the Company’s subsidiary). 1.3 Interest on margin loans The Company’s interest income on margin loans in 3Q2018 was