, provided that, whether in any case, it shall count the shares of spouse or minor children included; (b) Company which private fund management company taking the duty of advisor, financial advisor for
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
Office of the Securities and Exchange Commission No. OrNor. 2/2545 Re: Permission for Appointment of Advisor of Investment Advisory Company dated 29 January 2002; (8) The Notification of the Office of the
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
Services Related to Mutual Fund and Private Fund Management dated 29 November 2000 shall be repealed. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Specified property fund
, services or the operation of fund management, or service of brokerage, dealing or underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
hedge fund, to a foreign service provider who is legally permitted to operate investment management business for hedge funds (i.e., hedge fund manager/advisor) under the law of a foreign country wherein
methods disclosed by the mutual fund management company under Clause 3(4) hereof. Chapter 2 Private Fund Management Clause 5. In cases where the private fund management company invests in or holds shares of
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By