management company. Clause 6. In cases where the private fund management company invests in or holds shares of any companies as assets of a private fund, but the customer does not authorize such private fund

detail. Clause 7 In segregating and managing the client’s assets in accordance with this Notification, the person with the proceeding power may authorize any person to take such actions as deemed

operational system; · determine the event or priority of violent of problem ; · determine for solving the problem in detail; · determine the responsible officer and authorize person and having name list and

first paragraph, the supervisor may authorize other company to perform such duty if the securities company is able to demonstrate that the authorized company is able to effectively perform duty as

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................

, act or refrain to act in order to comply with this Notification. Clause 15 In case a derivatives dealer breaches this Notification, the derivatives dealer shall be liable to administrative sanction

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

ข้อมูลเชิงอรรถได้อย่างครบถ้วนก่อนการตัดสินใจลงทุนได้อย่างเหมาะสม 10. บทลงโทษเชิง administrative sanction หากบริษัทหลักทรัพย์ไม่ปฏิบัติตามประกาศโฆษณา สำนักงานจะใช้ดุลยพินิจใน การพิจารณาลงโทษบริษัทหลักทรัพย์

movement of money and assets of the fund, and approve money and asset transferring for the purpose other than those provided in 1 and 2. 3.2 External auditor to perform the audit of the fund assets at least

by the mutual fund supervisor. 2. Stipulation of authorised persons or a group of persons to approve the payment of dividend. 3. There should be a system of receiving and disbursing of money in a