transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
Establishment of Mutual Funds and Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total
Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total number of voting rights of
evidentiary documentation retrievable for inspection by the SEC Office. Division 2 Specific Rules for Execution of Transactions for a Fund with a Management Company or a Connected Person _________________
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing
specific person. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such consultation by incorporating in
exceeds fifty percent of the total paid-up shares with voting rights of the company being held, or an individual holding shares of the company in any subsequent level in a number exceeding fifty percent of