principal assets of mutual fund; "Exchange" means the Stock Exchange of Thailand; "major investor" means a person having any of the following characteristics: (1) persons who have acquired the initial units
organization such as the group of companies, business unit, function, department, division or process. 10.5 The company conducts segregation of duties to the 3 parts as followed for check and balance purposes
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the
Investors from the Provisions of Public Offering for Sale of Securities dated 12 August 2012 shall be repealed. Chapter 1 General Provisions _________________________ Division 1 Scope of the provisions
in compliance with Division 3 Treatment of Customer Property and Division 4 Protection of Customer Property of Chapter 2 of the Derivatives Act. Clause 9. In case the derivatives fund manager is the
shall be in compliance with Division 3 Treatment of Customer Property and Division 4 Protection of Customer Property of Chapter 2 of the Derivatives Act. Clause 9. In case the derivatives fund manager is