such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with

number of shares with voting right of such other companies; (d) a company holding shares of the applicant , whether directly or indirectly, by itself or combining with others exceeding fifty percent of the

having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1

หลักทรัพย์เพื่อบริษัท (proprietary trading) พนักงานที่เกี่ยวข้องกับการจัดการกองทุนส่วนบุคคล (staff deal ( หลักปฏิบัติในการซื้อขายหลักทรัพย์เพื่อบริษัท (proprietary trading ( ( ( ( ( ( 1.4 (ข) ( 1.4 (ค

issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of

management company; (f) Manager of fund; (g) Juristic person which person in (e) or (f) hold shares or be a partner combining exceed 30 percent of total shares sold or amount of contribution of such juristic

, whether directly or indirectly, by itself or combining with others exceeding fifty percent of the total number of shares with voting right of the applicant; (10) “subsidiary” means: (a) a company whose