company will collect the remaining expenses at once. • The management company will charge a back-end fee at X% of the trading value only when the investment target is reached within the specified Y months
concerning Rules, Conditions and Procedures for Establishment and Management of Infrastructure Fund, or the Notification of the Capital Market Supervisory Board concerning Rules, Conditions and Procedures for
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
. Huaykwang, Bangkok 10310 F + 66 (2) 6452828, + 66 (2) 6452829 VAT ID 0107538000151 Thailand W www.wiik‐hoeglund.com No. LWH/ACC 19/11/LT147 November 13, 2019 Subject: Management discussion and
dated 4 June 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “executive” means a manager or an authorized management person; (2) “manager” means a person
through fund managers. The proposed amendments also aimed to provide greater flexibility in investment management for asset management companies. The SEC held a public hearing on the proposed principles
tables attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary; “ fund management company ” means a securities company licensed to undertake securities business in the
: “intermediary” means a securities company or a derivatives intermediary; “fund management company” means a securities company licensed to undertake securities business in the category of mutual fund or private