shall provide an operating system under paragraph one, such operating system shall have an approval from the Office before investing or additional investing in proprietary trading Clause 8. Management

___________________________________________________________________ Remark : The rationale for issuing this Notification is to prescribe the rules for appointing or allowing director, manager or person with power of management of one securities company to be or

price and the correct unit price is at least one Satang or greater, and represents at least 0.5 percent of the correct unit price, the management company shall retrospectively calculate the unit price

). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant

grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and

licensed to undertake securities business in the category of mutual fund management shall have paid-up registered capital of not less than one hundred million baht. Clause 4. The securities company licensed

is less than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund

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

of the auditor’s work (paragraph........); ( 4.4.3 limitations imposed by management (paragraph........). · 5. Have emphasis of matter paragraphs resulting from (can choose more than one): ( 5.1 An

. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the