oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations

Kong domiciled feeder fund investing in a Thai MRF-eligible master fund: · The Thai AMC who manages the Thai domiciled fund shall request the SEC to issue a certificate confirming that the Thai domiciled

evidence relating to customers’ derivatives trading, shall be kept for a minimum period of five years from either the transaction date, the margin call date, or the release date of such analysis report or

has a material issue on violation of laws or regulations in the environmental area, or is under the accusation of causing a negative impact on the environmental issue, especially the issue appearing in

prescribe the standard for the management of retail funds , accredited investor funds , mutual funds for institutional investors , and private funds to ensure that the management companies oversee and manage

to undertake custody of clients’ assets . In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice

release date of such analysis report or article to customers, as the case may be, and shall be readily accessible or open to inspection by the Office during the first two years of the 5-year period. Clause

, if such persons may have a conflict of interest, identify the name of each of such persons and the amount of held shares; (3) In the case where the Company has a project to issue shares or convertible

holding or non-holding company, is required to disclose material information in the following matters: (1) Monitoring system for the board of directors to oversee the management and operation of the

personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage