the affiliated company of private fund management company; (6) Transaction with related person for the single fund in every case. In every case where transactions as specified in (1) to (6) are
Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The
. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September
standard for a Non-Publicly Accountable Entities, such securities company may prepare financial statements following expense classification by function form - single layer, according to the Notification of
. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of
, excluding the following businesses: (a) securities borrowing and lending business; (b) mutual fund management for foreign investors. (2) person licensed to undertake derivatives business in the category of
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
) “สัญญาซีดีเอส” (single-name credit default swap) หมายความว่า สัญญาเครดิตอนุพันธ์ที่กำหนดทรัพย์สินตามสัญญาเครดิตอนุพันธ์ไว้เพียงรายการเดียว (ฉ/5) “สัญญาเอฟทีดีเอส” (first-to-default swap) หมายความว่า สัญญา
used in business operation 6. Future projects 7. Legal disputes 8. Other important information 2.3 Management and corporate governance 9. Information on securities and shareholders 10. Management
(Investment Management Reporting System) หรือระบบ รับส่งการรายงานธุรกิจจัดการกองทุนส่วนบุคคล (Private Fund and Provident Fund Reporting System) ตามประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ว่าด้วย