…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
the policies of the Company and the subsidiaries for entering into future transactions with persons who may have a conflict of interest according to the followings instructions: (1) Disclose the
business to demonstrate the availability of system to prevent conflict of interest, system to prevent leakage of information among working units and personnel, risk management system, operational management
transactions with persons who may have a conflict of interest, disclose in the form of related party transactions to be executed. In this regard, the guideline for disclosing the objectives of fund spending
potential conflict of interest, disclose the upcoming related party transactions; * The guidelines for disclosure of the use of proceeds shall be in accordance with the Disclosure Guidelines for the
) having exhaustively comprehensive risk management of which preventive measures and arrangement shall be adequate and effective; (7) having systems and measures for preventing conflict of interests at least
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
effective; (7) having systems and measures for preventing conflict of interests at least in accordance with the rules as prescribed in Clause 18(2); (8) having appropriate and sufficient system for
ทรัพย์ ในประเด็นที่เป็นปัญหาที่พบบ่อยครั้ง ต้องทำ due diligence เพื่อตรวจสอบว่าไม่มีปัญหาในประเด็น ดังต่อไปนี้ 1. บริษัทมีโครงสร้างชัดเจน เป็นธรรม และไม่ก่อให้เกิด conflict of interest 2. หากบริษัทมีการทำ