pursuant to the Notification of the Office of the Securities and Exchange Commission governing establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund
addition, there is no reasonable ground to believe that the applicant has any deficiency or is not appropriate regarding control and sound business conduct; (3) being able to maintain capital funds and set
operation of investment management of funds only if the outsource operator is an affiliated company or financial institution; (10) investing abroad for funds only if it is necessarily for operating business
trading of securities or derivatives; (9) back office operation of investment management of funds only if the outsource operator is an affiliated company or financial institution; (10) investing abroad for
funds; 1 As amended by the Notification of the Securities and Exchange Commission No. Kor Khor. 40/2547 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not
) the Government Pension Fund; (11) provident funds; 1 As amended by the Notification of the Securities and Exchange Commission No. Kor Khor. 40/2547 Re: Rules, Conditions and Procedures for Securities
Exchange Commission governing establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund management company” means a securities company licensed to undertake
establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund management company” means a securities company licensed to undertake securities business in the
/ Fax 0-2741-6878 / Company Tax ID : 0107545000021 7. Source of Funds The source of funds for the Transaction shall come from the Company’s working capital, which is quite sufficient. 8. Opinion of the