at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control activities in order to prevent or minimise possible damage. In this case, the
agencies under such laws in respect of any offense relating to unfair activities on securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money
systems, and investment management systems, etc; “ critical activities ” means the activities relating to providing services, entering into transactions or other activities of the intermediaries, in which
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
Management Companies; Chairman, Securities Analysts Association; Chairman, the Thai Life Assurance Association; Secretary General, the Thai Bankers’ Association; and Secretary General, the Foreign Banks
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Hong Kong Covered Management Company
..) 3. Income (Loss) before income tax 4. Income tax expenses 5. Income (Loss) after income tax 6. Net profit (Loss) of minority interest 7. Profit (Loss) from ordinary activities 8. Extraordinary Items 9
of funds ; (3) the investment and income generating activities of funds ; (4) the administration and management of funds in any matter other than (3). Clause 3 In addition to this Notification, a
Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of