management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established
in the category of private fund management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which
companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
back office services to securities companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core
provider of back office services to securities companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core
Notification shall apply to: (1) the application for approval and the approval for establishment of funds; (2) the allotment and the offer for sale of the units of funds; (3) the investment and income generating
year. Clause 6 The securities clearing house shall apply effective measures and methods for monitoring and control of outstanding clearing and settlement of securities and risk incurred by each member to
change to the market condition and conduct a full validation of such model at least once a year. Clause 6 The derivatives clearing house shall apply effective measures and methods for monitoring and
; “Office” means the Office of The Securities and Exchange Commission. Clause 4. This notification shall not apply for Thai Trust Fund Company Limited. Provided that, the provisions in Part 1 of Chapter 1
business related to investment. Clause 2 This Notification shall apply to: (1) the application for approval and the approval for establishment of funds ; (2) the allotment and the offer for sale of the units