Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and

PHILLIP Securities (Thailand) Public Company Limited Between Feburary 23, 2021 and May 2, 2024, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, has applied

PHILLIP Securities (Thailand) Public Company Limited Between August 27, 2019 and December 26, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, the

Capital Adequacy of Some Specific Intermediaries (No. 2 ) dated 20 February 2017. Clause 2 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory

, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018; “intermediary” means a securities company or derivatives intermediary, excluding venture

Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification of the Capital Market Supervisory Board No. Tor Nor. 89/2558 Re: Rules for Management of Retail Funds

management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the

provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity management that should be applied by each intermediary and for determining a

investments, the TLAA and the TGIA become a part of the Thai Institute of Directors Association (Thai IOD)?s Private Sector Collective Action Coalition Against Corruption Council or CAC.  The OIC trusts that

concerning Guidelines for Application for Obtaining an Approval and Granting to Appoint a Personnel to be a Director or an Executive of the Derivatives Intermediary B.E. 2553 dated 1 February B.E. 2553. Clause