Thor. 8/2557 Re: Rules on Capital Market Business Personnel dated 3 June 2014, which has replaced the first two notifications above.
been promulgated in replacement of the said two notifications.
Asset Management Co., Ltd. failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by failing to invest in debt instruments of which
of Assets, 2004 (collectively, the “Notifications on Acquisition or Disposal”), having the highest transaction value of 38.2 percent, calculated based on a total consideration value basis, based on the
(2003), and the Notifications issued by virtue of such laws regarding management in the manner of deceit, fraud, dishonesty 7 relating to offence against property, or lacking due care, loyalty or practice
has consented; (3) Clearly determining the customer’s rights particularly the right to receive information with respect to derivatives fund management; (4) Having necessary information and warnings
warnings which the customer shall be aware of and familiar with in respect to derivatives fund management. Clause 6. The derivatives fund manager as the person entrusted to manage the customer’s funds shall
Notifications”). The criteria that gives the highest value of transaction is equal to 27.89 %. The calculation is based on the consolidated financial statements of the Company and TSE, which comprise the
of Assets Notifications”) the highest value of transaction is equal to 27.89 %. The calculation of the size of transactions is based on consideration basis. During the six months period before the