disciplines in accordance with such regulations as specified by the management company ; **(5) having the following efficient operating systems relating to being an agent for selling or receiving requisition of
juristic person; (8) “client solicitation” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment plans for the clients as well; (9
Securities and Exchange Commission concerning Rules Relating to Maintaining of Capital Adequacy and Professional Indemnity Insurance of Management Companies; (2) the management company is not being
Exchange Commission Remark: The rationale for issuing this notification is as follows: to clearly prescribe criteria for permission to establish a branch office of a management company as well as the rules
action against or being punished in the past according to the management in the manner of deception, defraud or dishonest to properties as prescribed in Clause 25; (3) prohibited characteristic of Group 3
paid-up capital suitable for the business nature and risks instead. In addition, the SEC Board has the power to exempt certain business undertaking from being classified as securities business such as
Company Limited, whose businesses have been operated under his philosophy to bring about national prosperity, people?s well-being and corporation?s benefit. He will give a closing keynote address on
damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive
management or advisor of another securities company, which is in support of financial conglomerate of securities businesses, bringing about flexibility in business operation as well as greater competitiveness