have any matters showing that management company enter into the service with unnecessary reason in order to obtain the soft commissions for the fund from such person (churning); In allocation of such
such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
) There should be a clear agreement between a management company and the fund committee on the trade date of each fund. The prescription of the trade date should take into consideration of the allocation of
from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk
. ------------------------------- The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 20/2547 Re: Rules for Derivatives Fund Management ______________________ To assure investors
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
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
เบื้องต้นเกี่ยวกับการจัดสรรและกำหนดสัดส่วน การลงทุน (“basic asset allocation”) ผู้ประกอบธุรกิจสามารถใช้ basic asset allocation รูปแบบมาตรฐาน ที่สำนักงานจัดทำขึ้น (ตามสิ่งที่ส่งมาด้วย 2 ) เพื่อประกอบการให้
) “prospectus” means a prospectus which is identical to a draft prospectus filed with the SEC Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing
by such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and