6th day of August 2009. (Vijit Supinit) Chairman Securities and Exchange Commission Remark : The reason for promulgation of this Notification is to prescribe that the fund management of juristic
6th day of August 2009. 2 UNOFFICIAL TRANSLATION (Vijit Supinit) Chairman Securities and Exchange Commission Remark: The reason for promulgation of this Notification is to prescribe that the fund
customers, certain details of these rules are not in line with the Framework of ACMF. SEC therefore proposes to prescribe additional rules specifically applicable to the professionals from ASEAN countries
business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the
the future plan such as business growth rate in 3-5 years Page 4 of 32 (Unofficial Translation) 2. The executive should prescribe key policies in supervising the undertaking of fund management business
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transaction of securities dealing with a client , a securities company shall specify a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient
employee responsible for the said duties to provide true and accurate information to the client. Clause 18 In considering a transaction of securities dealing with a client, a securities company shall specify
securities and derivatives held before transaction date Transaction No. of securities and derivatives held after transaction date Method of transaction Transaction executed by Purchaser/Transferee (Specify