a fund , a management company shall appoint a fund manager who is appropriately qualified whereby the person to be appointed as the fund manager shall be in accordance with the Notification of the
securities business in the category of private fund management; “big retail investor” means a person who will make an initial minimum subscription of 500,000 baht for investment units of a mutual fund; “fund
Business Operation in the part relating to management of fund investment, mutatis mutandis. Clause 16 9 A trustee shall govern, control and monitor REIT manager or any other assigned person (if any) to
Business Quarter 4/2024 5 Approval of independent professionals Quarter 4/2024 6 Number of active personnel in securities and derivatives businesses 2024 Service Licensed / Registered Person Search for
unlicensed broker-dealer securities business under the names of Benson Dupont Capital Management and Morgan Pacific, which sold shares of five listed companies in the U.S. to investors benefitting from trading
dated 6 February 2008 shall be repealed. Clause 2. In this Notification: (1) “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management
) (Translation) ” means a contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in
Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business, including
credit for securities business under the law on Securities and Exchange; (4)1 a juristic person established under foreign law, which is a derivatives business operator in the category of derivatives dealer