company shall proceed as follows: (1) The private fund which is not a provident fund shall comply with Clause 3(1), (2), (3) and (5) mutatis mutandis and the private fund management company shall report its
practices which can prevent the misuse of client’s assets: 1. Operation manual on the payment made from the client’s private fund account. The custodian shall not make any payment from the client’s private
management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established
is not an institutional investor , private equity , venture capital and investor having a specific characteristic. “ institutional investor ” means an institutional investor in accordance with the
Redemption and Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4
Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551
Exchange Act, B.E. 2535 (1992) or the mutual fund management company; (2) Any person, who take responsibility directly in the private fund management in the case where private fund management company is not
. 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
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
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct