will submit the Notice of Shareholders’ Meeting together with the report of opinion of the Independent Financial Advisor to the shareholders at least 14 days prior to the shareholders’ meeting date. 8
personnel for each unit especially for the investment management division which should have at least 2 fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each
(Unofficial Translation) 1. Human resources planning of each unit should demonstrate the adequate amount of personnel for each unit especially for the investment management division which should have at least 2
keeps records of lending of money to a client for purchasing securities and lending of securities to a client for making a short sale; 4“initial margin rate” means a minimum rate of money to be paid or
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
is less than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund
than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund supervisor within
Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This