holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For
Rules on Transactions for Clients with Intermediaries or Connected Persons shall be in accordance with Chapter 2; (3) Disclosure of Information related to Acts That May Cause a Conflict of Interest shall
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
investment units in the amount of fifty percent or more of the total outstanding investment units; (4) a mutual fund of which the person under (1) or (2) holds investment units in the amount of not exceeding
Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
ทรัพย์ ในประเด็นที่เป็นปัญหาที่พบบ่อยครั้ง ต้องทำ due diligence เพื่อตรวจสอบว่าไม่มีปัญหาในประเด็น ดังต่อไปนี้ 1. บริษัทมีโครงสร้างชัดเจน เป็นธรรม และไม่ก่อให้เกิด conflict of interest 2. หากบริษัทมีการทำ