funds to be exempted if asset management companies comply with all obligations, such as widely allocating investment units to the general public, managing liquidity effectively and having measures to
management company shall apply for the Office’s approval for amendment of its scheme to be in compliance with the provisions of this Notification before the initial public offering of the investment units
provisions of this Notification before the initial public offering of the investment units. Should the management company fail to effect such amendment before the offering of the investment units, the Office
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure https://publish.sec.or.th/nrs/4642pe.doc 5644pe.doc
an investment management business. The amendments aim to prevent the use of the initial public offering channel as a regulatory arbitrage tool. The public hearing on this matter was completed in May
(ASCO), led by Mr. Pichet Sithi-Amnuai, ASCO President, together with the management team and representatives from 43 securities companies and derivatives business operators. The discussions revolved