; · Thai AMC should submit the application for establishment of mutual fund via the SEC’s Online Fund Approval and Management System (OFAM) together with all the necessary documents in support of the

to enable investors to decide and select such investment in a mutual fund suitable to their need. (2) The mutual fund management company has duly proceeded to apply for approval for the mutual fund

fund is under the Office’s consideration for approval of establishment and management. Clause 9. In case of advertisement of guaranteed fund or private fund with the same investment policy, the

investment management; Clause 3. The securities company shall advertise any mutual fund only after the company has submitted an application for approval of such fund’s establishment to the Office. In cases

requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face

approval of, and registration with, the SEC Office with the objective to promote and develop securities businesses in the category of investment management. Clause 2 This Notification is intended to

valuation of derivatives contracts, and any other information which has impact on management. The granting of approval under the first paragraph shall take into consideration the sources of origin

been granted prior approval by the authorized Committee or management concerned; (c) number of persons and information of the personnel who are responsible for risk management arising from derivatives

for supporting business continuity To operate a critical business function continually, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the

shall provide an operating system under paragraph one, such operating system shall have an approval from the Office before investing or additional investing in proprietary trading Clause 8. Management