Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

condition of such relationship including the characteristics of business relationship. Clarifications on the said matters should include a comprehensive flowchart of the overall business structure of the

matters should include a comprehensive flowchart of the overall business structure of the majority shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance

overall creditworthiness as professional. Clause 3. The mutual fund management company shall be approved by the Office to establish and manage a mutual fund in accordance with the following rules: (1) The

notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk

fund management company may present to the customer its opinion on the exercise of voting rights; (2) In case the private fund is a provident fund, the private fund management company shall present its

shall present highest, lowest and average performance and be compared with the performance benchmark of the proposed mutual fund (if any); (9) other information which are necessary to make a decision for

, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business

investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the

or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of